As compliance officers and in-house counsel for both broker-dealers and investment advisers attempt to navigate today’s tough regulatory challenges, Jackson Walker partnered with the ACA Compliance Group to host a complimentary workshop discussing topics relevant to both groups. Presented on July 23, 2019, “Dallas Compliance Workshop for Broker-Dealers and Investment Advisers” introduced two panels that included Jackson Walker partners Jonathan D. Neerman and Michael L. Laussade.
During the first discussion, Jonathan and fellow panelists covered recent SEC enforcement actions, anti-money laundering procedures (including FINRA’s 2019 guidance for SAR filings), Regulation Best Interest, cryptocurrency, and FINRA’s priority list for 2019.
Investment Adviser Panel
Following the first panel, Mike joined a conversation aimed at registered investment advisers that provided a general regulatory update—including an in-depth discussion of recent OCIE risk alerts and Regulation Best Interest—as well a discussion of cybersecurity sweep examinations issues related to compliance culture and empowerment of chief compliance officers.
Jonathan D. Neerman handles all aspects of commercial litigation, arbitration, complex business litigation, real estate litigation, securities litigation, and regulatory enforcement, primarily involving financial institutions. Jonathan has particular experience representing broker-dealers, investment advisors, and clearing firms in state court, federal court, and arbitrations on a nationwide basis. He has also counseled clients involved in federal and state securities investigations and litigation, including those related to the Securities and Exchange Commission and Financial Industry Regulatory Authority.
Michael L. Laussade represents private investment funds in all aspects of fund formation, regulatory compliance, and capital raising, as well as in a wide range of M&A and venture capital transactions. Mike has significant experience helping fund sponsors navigate complex structure and compliance issues attendant to fund formation, as well assisting funds in the negotiation of co-investments and joint venture relationships.