october, 2016

18oct12:00 am12:00 am"After 20 Years: The Evolution of the Securities Landscape and the Expectations for Compliance", National Society of Compliance Professionals

Event Details

Panel discussion: After 20 Years: the Evolution of the Securities Landscape and the Expectations for Compliance

Speakers: Paul Atkins, Patomak Global Partners CEO; Richard D. Marshall, Kattten Muchin Rosenman LLP Partner; John Walsh, Sutherland Asbill & Brennan LLP, Partner; Chuck Senator, Fidelity Investments, Exec. VP & Head of Regulatory Coordination and Strategy

  • The compliance officer: a higher profile and more intense expectations
  • The fundamental role of technology in the market and our firms
  • More complex products and the rist of “best interests” concepts
  • The post-crisis ascendancy of the importance of risk management
  • Post-Madoff enforcement responses: gatekeepers, whistleblowers, self-reporting, and broken windows
X