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Past Event
22 July 2015

United States
9:00 a.m. – 10:00 a.m. EDT
8:00 a.m. – 9:00 a.m. CDT
7:00 a.m. – 8:00 a.m. MDT
6:00 a.m. – 7:00 a.m. PDT

3:00 p.m. – 4:00 p.m. CEST
2:00 p.m. – 3:00 p.m. BST


  • Alistair Graham
    T +44 20 3130 3800
  • John M. Hickin
    T +852 2843 2576
  • Richard M. Rosenfeld
    T +1 212 506 2178
  • Matthew Rossi
    T +1 202 263 3374
  • Laurence Urgenson
    T +1 202 263 3280

Hot Topics Affecting the Financial Services Industry

Please join us for the third webinar of our Banking & Finance Litigation Webinar Series, where we will focus on the following topics: the Foreign Corrupt Practices Act (FCPA) and anti-bribery investigations, and US Securities and Exchange Commission (SEC) enforcement strategies aimed at investment advisers.

Recent FCPA and Anti-Bribery Focus in the United States, the United Kingdom and Asia
Mayer Brown partners Larry Urgenson, Alistair Graham and John Hickin will discuss:

  • The FCPA risk profile for the financial services industry
  • The restrictions on entering new markets in Asia
  • New approach of the Serious Fraud Office to the role of external advisers

SEC Enforcement Priorities and Tactics Aimed at Investment Advisers
Mayer Brown partners Rich Rosenfeld and Matt Rossi will discuss:

  • The SEC’s increasing focus on private equity
  • New coordination between the Office of Compliance Inspections and Examinations and the Division of Enforcement
  • The impact of Dodd-Frank whistleblower rules on investment advisers


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