6-Hour Program

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Overview

Why You Should Attend

Financial services firms' corporate compliance and ethics programs are under intense regulatory scrutiny.  Many new rules have been issued which impact the manner in which financial services firms operate.  At this program, attendees will get a solid foundation of the relevant regulatory framework as well as practical considerations regarding the design and implementation of such programs.  A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give attendees a multi-faceted perspective on requirements and best practices in this area.

What You Will Learn

  • Who are the primary regulators and how do they interact?
  • How are conflicts of interest identified and resolved?
  • What can we learn from recent enforcement activity?
  • What practical considerations should be taken into account with respect to the integration of a compliance and risk program within a financial services firm?
  • What are the roles of the Chief Compliance Officer and counsel advising the CCO?
  • What are today’s hot topics being addressed by firms’ corporate compliance programs?
  • What are the roles of the lawyer and compliance officer with respect to risk assessments?

Who Should Attend

Attorneys practicing in the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory regime governing financial services firms’ corporate compliance programs. Legal and compliance personnel already working in the industry will also benefit from updates and practical advice that will serve as a refresher.

Credit Details