Compliance Officers and Personal Liability: Are You At Risk?
About This Event
Description
Historically, personal penalties against compliance officers were virtually nonexistent. But regulators like the SEC and FINRA have increasingly taken action against compliance professionals they deemed responsible for failing to adopt or implement adequate compliance programs. Even by-the-book compliance officers need to be pro-active in protecting themselves against potential personal liability. Learn how by attending this thought-provoking webinar.
Objectives of the Presentation
Reviewing the implications of recent enforcement actions against compliance officers
Differentiating between personal vs. institutional liabilities
Strategizing in advance to legally protect yourself
Why Should you Attend
Kevin will provide tested and true strategies for compliance professionals to stay within the latest compliance guidelines and avoid any penalties due to non-compliance. He will introduce some lesser known federal regulations that may not be at the forefront of corporate boards.
Areas Covered
How to monitor for money laundering
Maintaining a culture of compliance
Applicable acts and regulation
Stricter government view and penalties for non-compliance
Auditing and testing of compliance measures
Implementation of corrective actions
Who will Benefit
Compliance Officers
General and Outside Counsel to Financial Institutions
Financial Institution HR Officials.
For Registration
https://www.onlinecompliancepanel.com/webinar/COMPLIANCE-OFFICERS-PERSONAL-LIABILITY-505629/AUGUST-2017-ES-WORLDCONCAL
Note: Use Promo code SAQR4 and get 10% off on registration (Valid till AUGUST 31st 2017)