Directors, C-Suites, and General Counsel are increasingly focusing on the heightened expectations & risk around compliance – a critical aspect to every business operation. Mistakes can seriously heighten corporate and personal liability. Not only do the DOJ and SEC have an impact on compliance, but state and local regulators – particularly in New York – are also intensely overseeing compliance initiatives and ethics of financial services institutions and other industries.
Our Distinguished Panel will provide an overview of key DOJ, SEC, and state regulatory issues in financial services and other industry compliance, as well as how corporate leaders can ensure practical actions are taken on issues such as:
The Directors Roundtable Institute is a not-for-profit which organizes worldwide programming for Directors and their advisors.
Head of Litigation (New York),
U.S. Securities and Exchange Commission
Principal, Cornerstone Research