WilmerHale Partners will discuss their expectations on the regulators moving away from technical regulatory violations and first-of-its-kind charging theories and refocus on more traditional actions, like financial fraud, AML, sales and trading practice issues, and retail investor protection.  We also believe there will be enhanced focus on firms’ use of artificial intelligence given the emphasis on the topic by FINRA.  The presenters will highlight the key takeaways in these areas, risk considerations, and where the regulators are likely to focus. 

WilmerHale has been accredited by the New York State and California State Continuing Legal Education Boards as a provider of continuing legal education. This program is being planned with the intention to offer CLE credit in California and transitional and non-transitional credit in New York. This program, therefore, is being planned with the intention to offer CLE credit for both newly admitted and experienced New York attorneys. Attendees of this program may be able to claim England & Wales CPD. WilmerHale has been approved as a Colorado Certified Provider, as recognized by the Colorado Supreme Court Continuing Legal and Judicial Education Committee. We will apply for Colorado CLE (after the program) if requested. The type and amount of credit awarded will be determined solely by the Colorado Supreme Court. New Jersey grants reciprocal credit for programs that are approved in New York. We can also issue Connecticut credit. WilmerHale is not an accredited provider of GA, IL, NC, TX, or VA CLE, but we will apply to these states accordingly. The type and amount of credit awarded will be determined solely by the State Bar of GA, the Supreme Court of IL, the State Bar of NC, the State Bar of TX, and the VA CLE Board. Florida attendees can email their certificate of attendance to [email protected] to be added to their record. All attendees, regardless of jurisdiction, will receive a uniform certificate of attendance that shows the states in which the program was approved. If one or two attendees’ requests credit in a jurisdiction for which we are not an accredited provider, we can provide them with the information required to apply for credit on an individual basis. Attendees who need credit in another jurisdiction can use the uniform certificate of attendance to self-apply. CLE credit is not available for on-demand webinar recordings.