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MVA Attorneys Participate in UNC Financial Services Compliance Boot Camp

June 2018

Charlotte attorneys on MVA’s Financial Regulatory Advice and Response and White Collar, Regulatory Defense & Investigation practices – Members Valecia McDowell and Todd Taylor, Counsel John Han, and Associate Brian Soja – participated as panelists at the Financial Services Compliance Boot Camp hosted by the UNC School of Law Center for Banking and Finance on June 11 & 12.  This was the second year for the Boot Camp, which is a program for compliance professionals covering a variety of compliance and legal topics in the banking and securities industry, with a particular focus on issues relevant to broker dealers and registered investment advisers. 

McDowell participated on a panel addressing regulatory focus areas in connection with sales practices and the conduct of registered representatives, while Han was a panelist for a session covering key compliance-related issues associated with common types of financial products.  Soja, who served on the Planning Committee for this year’s Boot Camp, moderated a session on cybersecurity and privacy on which Taylor was a panelist.

Click here for more information on the program.