Podcast Guest – Susan Light

Partner, Co-Chair, Broker-Dealer Regulation, Katten Muchin Rosenman LLP

Related Content

An image of a pinpoint in the middle of a target representing how targeted risk assessments using GRC software is effective

Article

GRC Software That Focuses Your Team: Why Risk Assessments Matter 

In today’s regulatory environment, firms cannot afford to let compliance operate in silos or rely on manual processes. Governance, Risk, and Complia...

Read More
Professional wealth management firm group discussing FINOP red flags

Article

FINOP Red Flags and Focus  Areas

For broker-dealers, regulatory exams are a fact of life. How well you prepare often determines whether your firm emerges with a clean report or faces ...

Read More
Thoughtful business exec represents standards of care

Podcast

Reg BI and Fiduciary Obligations

Taking Standards of Care from Policy to Practice In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance exper...

Read More
Get In Touch Scroll Up