Critical Skills for High-Performance Compliance Professionals: Effective Compliance Communication (Webinar)
Formerly scheduled for October 27
Questions of CCO personal liability have increased in recent years, not least through CCOs being named in high-profile SEC enforcement cases. Indeed, the New York City Bar has issued a report on CCO liability in the financial sector and SEC Commissioner Hester Peirce has spoken on the need for a new liability framework.
Compliance professionals need to understand the risks and obstacles they face and to develop strategies to address them. This session will review recent industry reports, regulatory cases and speeches and discuss what works, what doesn’t work and what needs to be addressed in the question of liability. How do we protect ourselves while continuing to attract good people to the profession of compliance? This program will bring together industry experts and your peers to provide a practical, real-world assessment of our personal liability.
After attending this session, you should be able to:
- Analyze the failures for which CCOs have been charged and how to avoid these failures in your efforts
- Evaluate your risks and obstacles in achieving regulatory and compliance program goals and approaches
- Understand the framework that is being developed for CCO liability
This course is being taught as part of the ComplyConnect Conference & Expo. To learn more, visit our main conference website.
For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.
Suggested Skill Level: Intermediate
Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE.
CA MCLE = TBD
IACCP® = TBD
CPE = TBD
For more information, check out the NRS Continuing Education Guide.