Podcast Guest – Susan Light

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

Related Content

Podcast

FINRA Continuing Membership Applications

Understanding the FINRA CMA Process  For broker-dealers, significant business changes often require filing a Continuing Membership Appl...

Read More
An image of a femail COO in a suit in front of charts in GRC Software explaining to her team how to make better decisions

Article

Better Decisions Through GRC

In today’s financial services environment, firms face complex regulatory obligations and heightened expectations from clients and regulators alike. ...

Read More
Abstract image of bold neon colors of light representing the power of one audit platform

Article

Benefits of a Single, End-to-End Audit Program

Fragmented Systems Create Risk  Chief Compliance Officers (CCOs) know that testing and the audit process are critical pillars of an effective ...

Read More
Get In Touch Scroll Up