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Financial Services Industry Regulatory Compliance Forum 2017 (PLI Webcast)
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Groupcast at the offices of the Atlanta Bar Association

When: 11/08/2017
9:00 am to 5:15 pm
Where: Atlanta Bar Association
229 Peachtree Street NE
Suite 400
Atlanta, Georgia  30303
United States
Presenter: PLI and Atlanta Bar CLE
Contact: (404) 521-0781

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Practicing Law Institute and Atlanta Bar CLE will continue working together to bring PLI programs to you! 
PLI is dedicated to providing the legal community with the most up-to-date, relevant information and techniques which are critical to the development of a professional, competitive edge. 
More of PLI's sophisticated and cutting-edge programs will be webcast live at the Atlanta Bar Association Office through May 2017. 

6.5 CLE hours, including 2 Ethics hours

Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which impact the manner in which financial services firms operate. At this program, attendees will get a solid foundation about the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs.  A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give attendees a multi-faceted perspective on requirements and best practices in this area.  

What You Will Learn

  • Who are the primary regulators and how do they interact?
  • How are conflicts of interest identified and resolved?
  • What can we learn from recent enforcement activity?
  • What practical considerations should be taken into account with respect to the integration of a compliance and risk program within a financial services firm?
  • What are the roles of the Chief Compliance Officer and counsel advising the CCO?
  • What are today’s hot topics being addressed by firms’ corporate compliance programs?
  • What are the roles of the lawyer and compliance officer with respect to risk assessments?

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