Compliance and Legal Trends in The Financial Industry

SKU: SEC082 Back to Course Listings

Washington MCLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Washington State Bar Accredited CLE Sponsor. To view our full accreditation details please .

All Courses Available iOS/Android Web

About This Course

Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transforming these critical functions.

Participants will gain a comprehensive understanding of: Emerging trends and challenges in legal and compliance roles. Strategic focus areas to enhance legal and compliance operations. Innovative responses to shifting business dynamics and regulatory demands. The impact of technological advancements on legal and compliance frameworks.

Best practices for staying agile and proactive in a rapidly changing environment. Engage with industry leaders to learn how they are adapting their strategies to meet the complexities of today’s market and regulatory climate. This course provides a unique opportunity to gain practical knowledge and foresight to navigate and thrive in the evolving legal and compliance landscape.

Lecturer Bios

Bob Colby

As Chief Legal Officer of FINRA, Robert Colby oversees FINRA’s rulemaking, interpretive, compliance, litigation, and commercial transactions functions, as well as FINRA’s Appellate Office, Departments of Advertising, Corporate Financing, and Dispute Resolution.

Previously, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters for financial institutions and markets.

Before joining Davis Polk, Mr. Colby served as Deputy Director in the SEC’s Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, markets, and clearing organizations. Before serving as Deputy Director, Mr. Colby was Chief Counsel, and Chief of the Market Structure Branch.

Mr. Colby received his J.D. cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.

Wendy Lanton

Wendy Lanton has been working in the financial services industry for more than 20 years. She is one of the founding principals of Lantern Investments, a FINRA registered broker dealer, and Lantern Wealth Advisors, an SEC registered investment advisor. She has been the Chief Compliance Officer of Lantern Investments since its inception in 1993. The firm has multiple business lines and currently has 44 registered representatives and operates 13 branch offices across the country. Ms. Lanton is responsible for both the firm’s compliance and the day to day operations. In December 2015 she was appointed to the FINRA Small Firm Advisory Board. She also currently serves on the Steering Committee for her firm’s current clearing firm and was the co-chairperson on the steering committee at her previous clearing firm. As a steering committee member, her industry experience is called upon to help direct both compliance and technology resources.

Ms. Lanton has also served as the chairperson for multiple Compliance Forums for retail brokerage firms. As a speaker/panelist at the FINRA 2014 Annual Conference her industry experience was called upon to discuss Anti-Money Laundering and Effective Risk-Based Examinations for small firms. She was also a speaker/panelist at the FINRA 2016 Annual Conference discussing Top Regulatory Concerns. In February 2016 Ms. Lanton served as a panelist representing small firms at the Cybersecurity Conference. She has written numerous compliance-centric articles focusing on topics ranging from client suitability to cyber-security.

Ms. Lanton graduated from George Washington University where she majored in International Finance. Prior to becoming a founding member of Lantern Investments, she worked for a regional bank where she managed assets for high net worth individuals and medium sized businesses.

Peggy Ho Esq.

Peggy Ho joined Commonwealth in April 2021. She oversees the legal, anti-money laundering, and risk management functions for the firm and its related companies, bringing leadership, strategic acumen, and a deep understanding of the business to drive positive outcomes. Among her many responsibilities, she also guides the executive management team on strategic initiatives and regulatory issues, represents the firm before regulatory oversight bodies, and supervises a team of professionals responsible for all aspects of legal and risk management. Prior to joining Commonwealth, Peggy spent 14 years with LPL Financial, most recently as Chief of Staff for Compliance, Legal & Risk and Head of Government Relations. She began her career in private law practice at Ropes & Gray LLP.

Peggy is very involved in her community and current sits on the boards of the Asian American Lawyers Association of Massachusetts and the Wellesley Theatre Project. She is also the current Secretary for the Campaign for the Choral Endowment at Harvard University.

Peggy earned her A.B. from Harvard University and holds a Masters of Science in Foreign Service from Georgetown University’s School of Foreign Service and a Juris Doctor from the Georgetown University Law Center.

Jennifer Grego Esq.

Jennifer Grego is the Chief Compliance Officer and Head of Operational Risk for the Wealth Management Division of Morgan Stanley. Jennifer joined the Firm in 2005 in the Wealth Management Legal Department where she advised a variety of business units including field management and the private banking group. In 2012, Jennifer joined the Wealth Management Compliance Department and led teams responsible for digital strategy, international clients, stock plans, cash management and more.

In September 2018, Jennifer was named Deputy for the Department and, in June 2019, Jennifer assumed the role of Chief Compliance Officer. In July 2022, Jennifer also assumed responsibility for Operational Risk for the Division. Prior to joining Morgan Stanley, Jennifer worked as a litigation associate at private law firms and an enforcement attorney at FINRA. She earned her Bachelor’s Degree at Binghamton University in 1995, and her law degree at Boston University in 1998.

Build a
Bundle

Build the CLE course package you want at discounted prices.

Build your bundle

Quickest • Most Cost Effective

One Stop Bundles

Most popular option for quickly satisfying your CLE.

Deep Bundle Discount

Browse Bundles

Individual Courses

Complete catalog of CLE Courses for quick, targeted, custom CLE satisfaction.

Choose courses

United Makes CLE Easy

One.

Select Course Package

Unlimited CLE

Enables you to fulfill multiple CLE cycles with one purchase.
One-Stop Bundles

Our most popular courses bundled to save you time and money.
Build-A-Bundle

Select the courses that interest you most while taking advantage of our bundle discount.

Two.

Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

Three.

Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Create Your Account Now

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize Options

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

Please fix the following errors:

Email:

Admitted State:

Admitted in more than one state?

Bar/Reg/ID #

Leave blank if you don't have one or wish to provide it later

Admitted States:

For even more customized results, please provide your name and phone number (optional).

First Name (optional):

Last Name (optional):

Phone (optional):

We promise to respect your privacy.

You have successfully been added to our mailing list!

Accreditation and CLE Rules for Washington

Compliance and Legal Trends in The Financial Industry

Washington MCLEAccreditation Info

About This Course

Build a Bundle

One Stop Bundles

Individual Courses

United Makes CLE Easy

One.

Select Course Package

Two.

Immediate Access to CLE Courses

Three.

Instantly Print Your Certificate

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

Select your admitted states

Use the form below to select the states where you have been admitted to the bar. You may also provide your bar number for each state.

Admitted State:

For even more customized results, please provide your name and phone number (optional).

You have successfully been added to our mailing list!

Chat With a CLE Specialist

Use the form below to send a message to our team of highly-trained CLE Specialists. Or call us at 206-487-7256.

Your message has been sent to our team of CLE Specialists. We will get back to you shortly!

Washington MCLE
Accreditation Info

Build a
Bundle