Regulating the Securities Industry and the Supporting Role of Compliance*

Speaker: Charles Riely, Assistant Regional Director, NY Division of Enforcement, US Securities and Exchange Commission

Description: Please join us for a lunch talk with Charles Riely, Assistant Regional Director, NY Division of Enforcement at the SEC, and member of the Enforcement Division's nationwide Market Abuse Unit! Mr. Riely will discuss the role of the SEC in regulating the securities industry, including with respect to insider trading, and the importance of compliance in supporting the SEC's efforts. Mr. Riely has been a key contributor to many notable SEC enforcement actions, including cases involving insider trading and a variety of other cases involving regulatory failures or fraud. Before joining the SEC staff in 2008, Mr. Riely worked for six years at the New York office of Akin Gump. Mr. Riely earned a JD with honors from the University of Michigan in 2001, and a BA from Yale in 1998.

*This event is part of the Compliance Speaker Series and will qualify towards the Compliance Concentration requirement.

This event is open only to the Cardozo community. Registration is required and space is limited. Lunch will be provided.