Susan Schroeder
As the former head of enforcement at the Financial Industry Regulatory Authority (FINRA), Susan Schroeder has deep insight into the priorities and procedures of the regulatory bodies that govern the financial services industry, including the US Securities and Exchange Commission (SEC), FINRA, exchanges, and state securities regulators. In addition, Ms. Schroeder calls on her extensive experience overseeing thousands of regulatory investigations to assist and advise clients in all aspects of internal investigations, including detecting potential misconduct, complying with reporting obligations and effectively remediating systemic problems. Ms. Schroeder rejoined WilmerHale in 2020 after eight years at FINRA, where she served as the head of enforcement from 2017?2019 and the deputy head of enforcement from 2011?2017. Ms. Schroeder initially joined WilmerHale in 2004, and represented investment banks, investment advisers, broker-dealers, public companies, hedge funds and individuals in a wide range of enforcement matters before the SEC, SROs and state securities authorities.
10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN)