Greenberg Traurig at IA WatchGreenberg Traurig’s Financial Regulatory and Compliance practice was a proud sponsor of the IA Watch’s 2015 Commitment to Compliance Conference that was held on Sept. 21 in Philadelphia, PA.  The conference sessions addressed various compliance challenges that organizations should keep in mind, including the following topic areas:

  • Providing  a peek inside the SEC’s agenda for exams, enforcement and regulations
  • Information on what can be done to fortify your firm with a solid culture of compliance
  • Addressed why a firm’s cybersecurity defenses are doomed to fail without a role for compliance
  • How to ensure that advertising and marketing doesn’t cross red regulatory lines
  • New ideas to enhance compliance testing and produce the best annual review yet

In attendance were Greenberg Traurig shareholders, Richard Cutshall, Arthur Don and Steven Felsenstein (who posed a number of interesting questions to presenters on ethical issues and recent developments).