Learn how to safeguard your firm from costly errors through smarter shareholder disclosure monitoring and shares outstanding reporting.
Watch our expert-led discussion on navigating today’s regulatory minefield on demand today.
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 unpack recent enforcement trends, share lessons from global regulators, and show how technology can help firms stay compliant, confident, and in control.
Speakers:
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Kyrstin Ritsema
Executive Director,
Compliance Services
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Mike Marmo
VP of Product
Confluence
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Joe DiLella
Senior Director
SEI
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“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
Don’t risk falling behind.
Our in-house expert, Kyrstin Ritsema, Executive Director, Compliance Services, Mike Marmo, VP of Product, and Joe DiLella, Senior Director of SEI, share their insights into how you can avoid these pitfalls.
