transcript   Transcript

Broker/Dealer Compliance Officer Roundtable

Recorded on: Oct. 17, 2017
Running Time: 00:58:41

Full Transcript:



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Taken from the Web Program Broker/Dealer Regulation and Enforcement 2017 recorded October 2017 in New York.

Broker/Dealer Compliance Officer Roundtable [00:58:41]

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran, Douglas T. Siegel


The purchase price of this segment includes the following article from the Course Handbook available online:

  • Defending Broker Dealers in Regulatory Investigations (August 2017)
    William R. Baker
  • King & Spalding, 2017 Financial Industry Regulatory Priorities, OCIE and FINRA Announce Examination Areas of Focus (January 17, 2017)
    Carmen J. Lawrence
  • Compliance Officer Liability (June 1, 2017) (PowerPoint slides)
    Ghillaine A. Reid
(s)
William R Baker ~ Latham & Watkins LLP
Ghillaine A Reid ~ McGuireWoods LLP
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Douglas T Siegel ~ Global Chief Compliance Officer, Oppenheimer & Co. Inc.
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