transcript   Transcript

The Responsibilities of In-House Counsel and Compliance Personnel

Recorded on: Sep. 29, 2017
Running Time: 01:38:44

Full Transcript:



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Taken from the Web Program Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017 recorded September 2017 in New York.

The Responsibilities of In-House Counsel and Compliance Personnel [01:38:44]
  • What does the government expect from in-house counsel and compliance personnel when they are exposed to “red flags”?
  • What are the risks to in-house counsel and compliance personnel whose responses are viewed as inadequate?
  • Best practices to minimize liability for in-house counsel, compliance personnel and their employers
  • Management’s responsibility to supervise compliance and legal functions
  • Lessons learned from recent government cases

Panel Leader: Samuel J. Winer
Speakers: Elaine H. Mandelbaum, Daniel Nathan, Karyn S.W. Polak, Charles V. Senatore


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

  • Samuel J. Winer, Brooke D. Clarkson, Jenlain A. Coyle, and Daniel A. Nathan, In-House: SEC Enforcement Actions Against Compliance Officers
    Samuel J. Winer, Daniel A. Nathan
(s)
Elaine H Mandelbaum ~ Managing Director and General Counsel, Litigation and Regulatory Enforcement, Citi Institutional Clients Group
Daniel Nathan ~ Morvillo LLP
Karyn S.W. Polak ~ Deputy General Counsel, PNC Bank, N.A.
Charles V Senatore ~ Head of Risk Oversight, Fidelity Investments – Devonshire Investors
Samuel J Winer ~ Foley & Lardner LLP
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