Tagged: SEC Conference

Report from SEC Conference: Compliance, Cooperation and Culture

Jessica Sanderson, Senior Counsel at The Volkov Law Group, recently attended the Rocky Mountain Securities Conference in Denver, Colorado.  Jessica’s posting summarizes the major compliance themes from the conference.  Jessica can be reached at [email protected] On Friday May 3, 2019, I attended the Rocky Mountain Securities Conference in Denver and heard from a number of regulators and industry experts, including SEC Commissioner Hester Peirce. SEC...