Presented by Leslie Cruz, Marlon Paz, Heidi Rudolph

Mayer Brown’s Marlon Paz and Leslie Cruz and Morae’s Heidi Rudolph discuss their views on the focus of the OCIE announcement, specific and practical actions that affected organisations need to take to achieve “preparedness” and how organisations can start to build a programmatic approach to responding to the OCIE’s announcement.

About the Presenters

Leslie Cruz
Counsel at Mayer Brown
Leslie focuses her practice on representing registered investment companies, investment advisers, and other financial institutions engaged in market, financial or investment management activities.

Marlon Paz
Head of Broker-Dealer Regulation and Compliance Practice at Mayer Brown
Marlon Paz is head of Mayer Brown’s Broker-Dealer Regulation & Compliance Practice. He counsels broker-dealers and other financial services firms in matters related to securities regulation, SEC and FINRA enforcement, internal investigations and examinations, and compliance. Marlon also provides advice with respect to acquisitions of securities broker-dealers and investment advisers.

Heidi Rudolph
Senior Managing Director
I am Heidi Rudolph. I assist General Counsel and Chief Compliance Officers with legal and compliance operations.