Recorded on: Oct. 13, 2015
Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2015 recorded October, 2015 in New York.
Compliance and Legal Supervisory Liability [00:55:32]
Ethical responsibilities of legal and compliance professionals in regulated companies
What actions cause one to become a supervisor? What is a supervisor’s responsibility for a subordinate’s ethical and regulatory lapses?