transcript   Transcript

Developments Regarding the Role of the CCO in Financial Services

Recorded on: Nov. 15, 2016
Running Time: 00:59:25

Full Transcript:

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Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2016 recorded November, 2016 in New York.

Developments Regarding the Role of the CCO in Financial Services [00:59:25]
  • The Swap Dealer CCO Requirements
  • The Conflicts of Interest CCO Under the DOL Fiduciary Rule
Gail C. Bernstein, Maria Gattuso, Clifford E. Kirsch

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

  • RSCR: An Analysis of Current Laws and Regulations Affecting the Securities and Futures Industries: Swap Dealer Chief Compliance Officer Requirements—Recent Developments; Vol. 49, No. 4 (February 24, 2016)
    Dan M. Berkovitz, Gail C. Bernstein
  • Dodd-Frank Implementation Update: Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross-Border Requirements (May 26, 2016)
    Paul M. Architzel, Dan M. Berkovitz, Gail C. Bernstein, Seth Davis, Ted Serafini
  • DOL Fiduciary Rule: Designating a Conflicts Officer or Conflicts Committee
    Maria Gattuso
  • The Final Rule: DOL’s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions: Analysis and Critical Issues
    Clifford E. Kirsch

Presentation Material

  • Compliance Programs
    Gail C. Bernstein, Maria Gattuso, Clifford E. Kirsch
Gail C Bernstein ~ WilmerHale
Maria Gattuso ~ Deloitte & Touche LLP
Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
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