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Financial Services Industry Regulatory Compliance & Ethics Forum 2015
Chair(s):
Clifford E. Kirsch
Practice Area:
Banking, Corporate & Securities
Published:
Oct 2015
ISBN:
9781402425394
PLI Item #:
57129
CHB Spine #:
B2200
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Outline of Selected SEC Enforcement Actions (November 2014)
Chapter 2. The Evolution of the Law of Corporate Compliance in the United States: A Brief Overview, Chapter 1 from Corporate Law and Practice, a PLI Treatise (March 2014)
Chapter 3. Corporate Compliance Programs, Chapter 11 from Corporate Legal Departments, a PLI Treatise
Chapter 4. Laying the Foundation: The Regulatory Landscape
Chapter 5. Beginning with the End in Mind: Planning for a Purpose-Built, Cost-Effective Risk Assessment, Chapter 35 from Corporate Law and Practice, a PLI Treatise
Chapter 6. U.S. Securities and Exchange Commission Speech by SEC Staff: Remarks Before the National Regulatory Services Investment Adviser and Broker-Dealer Compliance/Risk Management Conference by Stephen M. Cutler, Director, Division of Enforcement (September 9, 2003)
Chapter 7. U.S. Securities and Exchange Commission Speech by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, Conflicts of Interest and Risk Governance at the National Society of Compliance Professionals (October 22, 2012)
Chapter 8. FINRA Report on Conflicts of Interest (October 2013)
Chapter 9. Office of the Comptroller of the Currency Comptroller’s Handbook—Asset Management (AM): Conflicts of Interest (January 2015)
Chapter 10. U.S. Securities and Exchange Commission Speech by Julie M. Riewe, Co-Chief, Asset Management Unit, Division of Enforcement: Conflicts, Conflicts Everywhere—Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View (February 26, 2015)
Chapter 11. Not a Game of Thrones: Compliance and Legal Supervisory Liability (August 3, 2015)
Chapter 12. Legal Ethics: The Lawyers Role When Something Goes Wrong
Chapter 13. FINRA 2015 Regulatory and Examination Priorities Letter (January 6, 2015)
Chapter 14. U.S. Securities and Exchange Commission National Exam Program—Office of Compliance Inspections and Examinations: Examination Priorities for 2015
Index
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