CCO Panel Game Plan for Coping with Regulatory Change
10:50 AM – 12:00 PM
Friday, May 18
A study by the Society of Corporate Compliance and Ethics showed that of nearly 1,000 compliance professionals surveyed, "58 percent often wake up in the middle of the night from job-induced stress, and 60 percent say they have considered leaving their job in the last 12 months due to the amount of stress.” At a compliance seminar in January, the SEC Enforcement Division's Bruce Karpati, co-chief of the Asset Management Unit, said, “compliance programs are front and center for us. There's going to be more soon on that in terms of enforcement actions.”
A panel of battle-tested CCO’s will explore the trials and tribulations of navigating through a tumultuous regulatory environment and provide tips, insights and strategies for successfully positioning your compliance program while protecting your professional standing. Among the issues covered will be; compliance with amended custody rules, the adequacy of AUM reporting, “Switch” considerations - and more.
Back to the Agenda