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Critical Skills for High-Performance Compliance Professionals: CCO Liability: Are You a Target?

May 20, 2021
1:30 PM - 3:30 PM EDT
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Course Description:

Questions of CCO personal liability have been a subject of discussion for many years, as it has been the subject of high-profile SEC enforcement cases. Last year brought renewed attention to the issue as the New York City Bar issued a report on CCO liability in the financial sector and SEC Commissioner Hester Peirce spoke on the need for a new liability framework.

It is time to take stock in the risks and obstacles compliance professionals face and how best 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 and keep good people in 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 three broad categories where CCOs have been charged and how they may impact your efforts
  • Evaluate your risks and obstacles in achieving regulatory and compliance program goals and approaches that peers have used and continue to use to address them
  • Assess the recommendations and guidance being contemplated to ensure a better framework is developed for CCO liabilitys

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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