Broken Windows: SEC Enforcement and Examination Initiatives, 2014 and Beyond
DATE: Tuesday, April 8th, 2014
SPEAKERS:
Andrew M. Calamari, Director, New York Regional Office, Securities and Exchange Commission
James A. Capezzuto, Chief Compliance Officer, New York Life Investors
Ken C. Joseph, Associate Director, Securities and Exchange Commission
Beth R. Kramer, Partner, Chadbourne & Parke LLP
Amy C. Poster, Moderator, Director for Risk and Regulatory Advisory Services, C&A Consulting LLC
HOST: Chadbourne & Parke LLP
LOCATION: 30 Rockefeller Plaza
New York, NY 10112