Recent Events

The Directors Roundtable Institute Invites You to Attend a Program
For Boards of Directors & Their Advisors

KEY ISSUES FACING BOARDS OF DIRECTORS
OF FINANCIAL INSTITUTIONS AND CORPORATIONS:
HEIGHTENED EXPECTATIONS & RISK AROUND COMPLIANCE PROGRAMS

Thursday, November 17, 2016, 8:30 – 10:30 A.M. (8:00 A.M. Registration)
The Harvard Club, 35 W. 44th Street, New York

 There is no fee to attend and continental breakfast will be served.
Two hours of New York CLE is pending
including 0.5 hours of Ethics credit.

Agenda

Directors, C-Suites, and General Counsel are increasingly focusing on 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, which includes Jason Brown, Chief Deputy Attorney General of New York State, and Susan Schroeder, Senior Vice President, Deputy Chief Enforcement Department, FINRA, will provide an overview of key national 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:

  • Prosecutors’ heightened expectations of internal investigations
  • Assessing pre-incident compliance programs
  • Elements of effective remediation
  • Increasing expectations around “big data” and transaction monitoring
  • Avoiding, selecting and interfacing with government-imposed monitors

Distinguished Speakers

Jason Brown
Chief Deputy Attorney General,
Office of the New York Attorney General

Susan Schroeder
Senior Vice President, Deputy Chief,
Enforcement Department, FINRA

Jonny Frank
Partner, StoneTurn Group

Richard Strassberg
Partner, Goodwin