"Data Analytics and Financial Services Compliance Programs," Practising Law Institute's Financial Services RegTech and Regulatory Compliance Forum 2021

On November 15, Partner Charles D. Riely will join the Practising Law Institute’s Financial Services RegTech and Regulatory Compliance Forum 2021 for a panel discussion titled "Data Analytics and Financial Services Compliance Programs." The conversation will cover the ways US regulators such as the Securities & Exchange Commission are using data analytics, best practices for providing information to regulators, and potential pitfalls companies should be aware of. The panel will begin at 2 pm ET. To learn more, and to register, please click here. Mr. Riely is a partner in the Investigations, Compliance, and Defense Practice. As a lawyer at the SEC for more than a decade, he handled a number of significant matters, working extensively with criminal authorities in parallel investigations, and developing deep experience in all aspects of the federal securities laws. Among other matters, he worked on investigations and enforcement cases involving broker dealers’ obligations under the Securities and Exchange Act of 1934 to file suspicious activity reports (FinCEN). He also handled matters involving “spoofing” and other forms of market manipulation.

"Data Analytics and Financial Services Compliance Programs," Practising Law Institute's Financial Services RegTech and Regulatory Compliance Forum 2021

On November 15, Partner Charles D. Riely will join the Practising Law Institute’s Financial Services RegTech and Regulatory Compliance Forum 2021 for a panel discussion titled "Data Analytics and Financial Services Compliance Programs." The conversation will cover the ways US regulators such as the Securities & Exchange Commission are using data analytics, best practices for providing information to regulators, and potential pitfalls companies should be aware of. The panel will begin at 2 pm ET. To learn more, and to register, please click here. Mr. Riely is a partner in the Investigations, Compliance, and Defense Practice. As a lawyer at the SEC for more than a decade, he handled a number of significant matters, working extensively with criminal authorities in parallel investigations, and developing deep experience in all aspects of the federal securities laws. Among other matters, he worked on investigations and enforcement cases involving broker dealers’ obligations under the Securities and Exchange Act of 1934 to file suspicious activity reports (FinCEN). He also handled matters involving “spoofing” and other forms of market manipulation.

News and Insights

Event

Associate Steven Arango to Speak at the Veterans' Legal Career Fair

On September 18, Associate Steven Arango will speak on a panel at the Veterans' Legal Career Fair (VLCF), the only legal career fair in the United States dedicated to veterans, active-duty service members, and military spouses.

September 18, 2026

Publications

In American Banker, Partner Laurel Loomis Rimon Weighs in on OCC's Handling of Fintech Bank Charter Applications

Partner Laurel Loomis Rimon spoke with American Banker about how the Office of the Comptroller of the Currency is approaching bank charter applications from fintechs, amid a growing wave of companies seeking charters from federal regulators.

August 18, 2026

Event

Partner David Greenwald to Speak at PLI Program on Privilege and AI

On August 17, David Greenwald will speak at "Fitting New “Tech” Into the Attorney-Client Privilege and Work Product Protection," a virtual program hosted by the Practising Law Institute (PLI).

August 17, 2026