Insights & News

Stradley Ronon Lawyers Host Online Financial Services Regulatory Forum

June 30, 2023
Firm News

PHILADELPHIA – Stradley Ronon is pleased to announce that the firm hosted a webcast forum on financial services regulations. Presenters included attorneys Frederic M. Krieger, John M. Baker, Jan M. Folena, Peter M. Hong and Lawrence P. Stadulis.

The group discussed several topics, including updates on remote inspections, SIPC and excess brokerage coverage, the precarious status of SEC administrative proceedings (Axon Enterprise, Inc. v. FTC and Jarkesy v. SEC), SIPC and excess brokerage coverage, developments in regulation best interest, DOL fiduciary rule updates, artificial intelligence in the securities industry and developments in Reg BI. Watch the replay of the event here.

Folena, Hong and Stadulis serve as co-chairs of the firm’s securities litigation, derivatives and commodities and fiduciary governance practices, respectively. Baker focuses his practice on complex securities law and banking issues for mutual funds. Krieger represents international industrial companies in the development of global codes of conduct, focusing on employment practices, anti-corruption, government sanctions, AML and KYC and other key policies related to ethical business culture and compliance.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

Related Resources

back to top