transcript   Transcript

Compliance and Legal Supervisory Liability in Financial Services

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

Full Transcript:

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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
Jeanine L. Giraldo McHugh ~ General Counsel, Retail Banking and Wealth Management, HSBC Bank USA
Brian L. Rubin ~ Eversheds Sutherland (US) LLP
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