transcript   Transcript

Compliance and Legal Supervisory Liability in Financial Services

Recorded on: Nov. 13, 2017
Running Time: 01:00:02

Full Transcript:



If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Financial Services Industry Regulatory Compliance Forum 2017 recorded November 2017

Compliance and Legal Supervisory Liability in Financial Services [01:00:02]

  • 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?
  • Ethical lessons learned from recent SEC cases
  • Practical steps to avoid liability

Jeanine L. Giraldo McHugh, Brian L. Rubin

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

  • Brian L. Rubin and Amy Xu, #CCOsGoingViral: An Analysis of SEC and FINRA Enforcement Actions Against Compliance Officers, Written for Millennials (and those who work with Millennials) (September 2016 to February 2017), Practical Compliance & Risk Management for the Securities Industry (July–August 2017)
    Amy Xu, Brian L. Rubin
  • Ch. 32A: Broker-Dealer Chief Compliance Officer Liability, Practising Law Institute, Broker-Dealer Regulation (2nd Edition) (November 2011)
    Katherine L. Kelly, Brian L. Rubin

Presentation Material

  • Compliance and Legal Supervisory Liability in Financial Services
    Jeanine L. Giraldo McHugh, Brian L. Rubin
(s)
Jeanine L. Giraldo McHugh ~ General Counsel, Retail Banking and Wealth Management, HSBC Bank USA
Brian L. Rubin ~ Eversheds Sutherland (US) LLP
Share
Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.