Course Handbook  Course Handbook

Financial Services Industry Regulatory Compliance Forum 2017

Publication Date: November 2017 Number of Volumes: 1
ISBN Number: 9781402430176 Page Count: 284 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: Andrew Ceresney, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Keynote Speech, Remarks Before ACI’s 33rd International Conference on the FCPA (November 30, 2016) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 2: Carole L. Basri and Irving Kagan, Ch. 11: Corporate Compliance Programs, Practising Law Institute, Corporate Legal Departments: Practicing Law in a Corporation (4th Edition) (November 2011) Carole L Basri ~ President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Compliance Advisor and Visiting Professor, Peking University, School of Transnational Law, Corporate Lawyering Group LLC
Chapter 3: Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, “The Role of Big Data, Machine Learning and AI in Assessing Risks: a Regulatory Perspective,” Remarks Before the 19th Annual Operational Risk North America Conference, New York, NY (June 21, 2017) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 4: Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017) James R Burns ~ Willkie Farr & Gallagher LLP
Peter D Santori ~ Chicago Stock Exchange
Chapter 5: Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017) (PowerPoint slides) James R Burns ~ Willkie Farr & Gallagher LLP
Peter D Santori ~ Chicago Stock Exchange
Chapter 6: 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) Brian L Rubin ~ Eversheds Sutherland (US) LLP
Amy Xu ~ Eversheds Sutherland (US) LLP
Chapter 7: Ch. 32A: Broker-Dealer Chief Compliance Officer Liability, Practising Law Institute, Broker-Dealer Regulation (2nd Edition) (November 2011) Brian L Rubin ~ Eversheds Sutherland (US) LLP
Katherine L Kelly ~ Eversheds Sutherland (US) LLP
Chapter 8: FINRA Report on Conflicts of Interest (October 2013) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 9: Attorney-Client Privilege in Investigations: Evolving Standards Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Index

This Course Handbook was compiled for the program, Financial Services Industry Regulatory Compliance Forum 2017.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E Kirsch, Eversheds Sutherland (US) LLP
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