Overview
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. The New York City Bar recently issued a report on CCO liability in the financial sector.
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 compliance professionals protect themselves 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 the areas in your firm that may include liability risks to you.
Learning Objectives
After attending this session, you 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 liability.
Speakers
Coming soon!
Who is this for?
For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based and Group Live
Pre-requisites for participation: No advance preparation or prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 and related SEC Rules to become familiar with the structure and terms.
Continuing Education Credits
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