transcript   Transcript

The Financial Services Industry: Laying the Foundation

Recorded on: Nov. 13, 2017
Running Time: 01:03:37

Full Transcript:

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

The Financial Services Industry: Laying the Foundation [01:03:37]
  • The changing regulatory landscape for financial services firms ACA
  • A look at the various regulators: Who's who?
  • The role of the financial services firm's corporate compliance program
  • Defining compliance versus supervision
Carole L. Basri

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

  • 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
Presentation Material
  • The Basics: Rolling Out Your Corporate Compliance Program
    Carole L. Basri
  • FCPA Compliance Presentation
    Carole L. Basri
Carole L. Basri ~ Adjunct Professor, Fordham University School of Law; Visiting Professor, Peking University, School of Transnational Law; Visiting Professor, Pericles Law School, Visiting Professor, Pericles Law School
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