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Critical Skills for High-Performance Compliance Professionals: CCO Liability: Staying out of the Crosshairs

May 19, 2022
11:30 AM - 1:30 PM EDT
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Course Description:

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, attendees 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

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For Whom: Designed to increase the professional competence of financial securities professionals with legal, compliance, technology, operations and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group-Internet-Based and Group Live

Pre-requisites for participation: No prerequisites are required.

Advance preparation: None

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2