Upcoming Webinar

Enforcement 2020: Highlights from a Regulatory Year Like No Other

December 17 • 10:00am PST

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Join us on December 17th as we go through examples of regulatory enforcement actions. Discuss the details of these enforcement actions and learn more about what you can do to avoid them in the future.

 

Despite a global pandemic, the SEC obtained remedies of more than $4 billion in 2020; an increase from the previous year. In addition, the agency brought over 700 actions, of which, a “significant” percentage was brought after the COVID-19 lockdowns began in the U.S.

While many firms responded quickly to the COVID-19 pandemic, others failed to implement policies and procedures tailored to the pandemic and our new work-from-home environments.

Panelists

Robert Cruz

Senior Director of Information Governance, Smarsh
Robert Cruz 800x800

Robert Cruz

Senior Director of Information Governance, Smarsh

Robert Cruz is Senior Director of Information Governance for Smarsh and Actiance. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and Discovery cost and risk reduction.

Brian Rubin

Partner, Eversheds Sutherland
Brian Rubin, Partner, Eversheds

Brian Rubin

Partner, Eversheds Sutherland

Brian Rubin is the Washington office leader of the Eversheds Sutherland (US) Litigation group and the head of the firm’s Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities enforcement practice. With more than 20 years of experience in federal securities law, first prosecuting and now defending, Brian represents clients being examined, investigated and prosecuted by the SEC, FINRA, other self-regulatory organizations and states. As former NASD (now FINRA) Deputy Chief Counsel of Enforcement and Senior Enforcement Counsel at the SEC, he brings an insider’s perspective to defending broker-dealers, investment advisers, investment companies, public companies and individuals in examinations, investigations, enforcement proceedings, litigation, arbitrations and in counseling.

Marianna Shafir

Corporate Counsel, Smarsh
Marianna

Marianna Shafir

Corporate Counsel, Smarsh

Marianna Shafir is Corporate Counsel and Regulatory Advisor at Smarsh, where she’s responsible for legal and regulatory affairs worldwide. With her expertise in financial services industry, compliance and eDiscovery, Marianna counsels Smarsh clients on meeting regulatory obligations, leveraging technology and guidance on best practices related to electronic communications supervision. Prior to joining Smarsh, Marianna worked for BNY Mellon and Invesco where she was an instrumental member on compliance teams .Marianna has also served as an adjunct professor at New York Career Institute where she taught Law Office Management and Real Estate Law. She earned her Juris Doctorate from Nova Southeastern University. She is a frequent speaker at industry conferences and a contributor to various online publications.