Avoiding Costly Compliance Pitfalls: Lessons from Global Regulatory Fines and How to Avoid Them

Join us for an expert-led discussion on navigating today’s regulatory minefield.

Recent fines from BaFin, the FCA, and the SEC underscore how high the stakes have become for investment managers. Even small disclosure oversights can trigger significant penalties — and reputational risk.

In this session, our panel of experts will unpack recent enforcement trends, share lessons from global regulators, and show how technology can help firms stay compliant, confident, and in control.

Speakers: 

“Regulators are sending a clear message — compliance mistakes aren’t just procedural, they’re financial. Firms can no longer afford to manage reporting reactively.”

— Mike Marmo, VP of Product, Confluence

What You’ll Learn

1. Real-world lessons from recent BaFin, FCA, and SEC fines
2. How to improve oversight of shareholder disclosures
3. The critical role of shares outstanding reporting in global compliance
4. How Signal, supported by SEI, combines automation and expertise to prevent costly errors

Don’t risk falling behind.

Join our in-house expert, Mike Marmo, VP of Product and Joe DiElla, Senior Director of SEI who share their insights into how you can avoid these pitfalls.