1-Hour Program

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Overview

Regulatory enforcement actions can be daunting, expensive, and time-consuming, not to mention they use up valuable company resources—but what choice is there other than to respond and remediate. Consider: If a regulator finds your compliance program to be found deficient, how ready is your organization to handle the remediation challenge? This One-Hour Briefing will highlight recent enforcement actions, lessons learned from these, and practical guidance to be gained in this important area of focus for legal and compliance professionals. 

Patty P. Tehrani, Analysis Manager of Bloomberg Law’s Regulatory & Compliance Unit will discuss:

  • Recent enforcement actions taken against financial institutions and how to use them as roadmaps for preventing similar issues
  • Lessons learned from these regulatory actions to improve compliance programs
  • Observations regarding problematic and successful attributes of compliance programs

Program Level: Overview
Intended Audience: In-house counsel, outside attorneys, compliance officers and professionals, board members, corporate officers, and other allied financial and banking professionals responsible for the preparation of public reporting and disclosure documents
Prerequisites: None
Advanced Preparation: None

Credit Details