Compliance Officers and Personal Liability: Are You At Risk?
- When: Previously recorded on: March 11, 2015
- Time: 12:00 PM – 2:00 PM ET
- Level: Beginner to advanced
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.
- Reviewing the implications of recent enforcement actions against compliance officers
- Differentiating between personal vs. institutional liabilities
- Strategizing in advance to legally protect yourself
Who Should Attend
- Compliance Officers
- General and Outside Counsel to Financial Institutions
- Financial Institution HR Officials