transcript   Transcript

Developments Regarding the Role of the CCO in Financial Services

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

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 & 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
(s)
Gail C Bernstein ~ WilmerHale
Maria Gattuso ~ Deloitte & Touche LLP
Clifford E Kirsch ~ 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
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.