Financial Services Industry Regulatory Compliance & Ethics Forum 2013
October 30, 2013
CLE - Live Seminar
USA
Description
In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms’ corporate compliance and ethics programs are under intense observation. At this program, attendees will get a solid foundation in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give attendees a multifaceted perspective on requirements and best practices in this area.
- Who are the primary regulators and how do they interact?
- How are conflicts of interest identified and resolved?
- What practical considerations should be taken into account with respect to the integration of a compliance program within a financial services firm?
- What is the role of the Chief Compliance Officer and counsel advising the CCO?
- What are the major areas typically handled by financial services firms’ corporate compliance programs? Including AML, the Foreign Corrupt Practices Act, privacy, and codes of conduct
- What is the role of the lawyer and compliance officer with respect to risk assessments?
Organized by
Practising Law Institute
810 Seventh Avenue
New York, New York
United States of America
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