Partner Charles Riely to Speak at Leading Compliance Group’s Quarterly Meeting

Partner Charles Riely will join the Southern California Compliance Group’s (SCCG) quarterly meeting on November 4, covering critical updates on SEC Regulation S-P amendments and the SEC's approach to MNPI, including implications of the landmark Panuwat "shadow trading" case and compliance best practices. 

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A former supervisor at the US Securities and Exchange Commission (SEC), Charles regularly represents clients before the SEC, the Department of Justice, and other state and federal criminal and regulatory authorities. He assists clients in investigations and compliance issues involving valuation, insider trading, financial reporting and disclosure issues. He also regularly helps firms manage their AML risk and risk stemming from digital assets.

Partner Charles Riely to Speak at Leading Compliance Group’s Quarterly Meeting

Partner Charles Riely will join the Southern California Compliance Group’s (SCCG) quarterly meeting on November 4, covering critical updates on SEC Regulation S-P amendments and the SEC's approach to MNPI, including implications of the landmark Panuwat "shadow trading" case and compliance best practices. 

Read More

A former supervisor at the US Securities and Exchange Commission (SEC), Charles regularly represents clients before the SEC, the Department of Justice, and other state and federal criminal and regulatory authorities. He assists clients in investigations and compliance issues involving valuation, insider trading, financial reporting and disclosure issues. He also regularly helps firms manage their AML risk and risk stemming from digital assets.

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