NYAIR Episode 85 –Avoiding Regulatory Trouble

October 25, 2022|Britt Tunick

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David McClean, principal at DMA Consulting Group, and Dustin Littrell, an attorney in Alston & Bird’s Financial Services & Products Group, discuss some of the nuts and bolts of a good compliance program and provide tips on how managers can protect their firms—and themselves, with Robert Akeson, managing director of investment banking at Riverside Management Group. Additional topics discussed include proposed regulations that, if enacted, may be quite impactful, along with their views concerning the ambitious regulatory agenda of the SEC under its current leadership.

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Britt Tunick

Britt Tunick

Britt Erica Tunick is a Senior Consultant specializing in media relations, corporate positioning, content creation and event planning. She is an award-winning journalist with more than 20 years of experience writing about the financial services industry.