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Financial Services Industry Regulatory Compliance & Ethics Forum 2016
Chair(s):
Clifford E. Kirsch
Practice Area:
Banking, Corporate & Securities
Published:
Nov 2016
ISBN:
9781402427879
PLI Item #:
148957
CHB Spine #:
B2283
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. U.S. Securities and Exchange Commission Speech: “The SEC’s Whistleblower Program: The Successful Early Years” by Andrew Ceresney, Director, Division of Enforcement at the Sixteenth Annual Taxpayers Against Fraud Conference, Washington, D.C. (September 14, 2016)
Chapter 2. U.S. Securities and Exchange Commission Speech: “Securities Enforcement Forum West 2016 Keynote Address: Private Equity Enforcement” by Andrew Ceresney, Director, Division of Enforcement at the Securities Enforcement Forum West, San Francisco, California (May 12, 2016)
Chapter 3. Corporate Compliance Programs, Chapter 11 from Corporate Legal Departments, a PLI Treatise
Chapter 4. Practising Law Institute, Corporate Law and Practice, Course Handbook Series, Ethics in Context: July 2016, Chapter 2: Ethics and In-House Counsel (July 2016)
Chapter 5. International Attorney-Client Privilege, Chapter 2 from International Corporate Practice, a PLI Treatise
Chapter 6. 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 7. Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (September 14, 2016)
Chapter 8. With Great Power, Comes Great Responsibility… and (Possibly) Liability (September 2016)
Chapter 9. RSCR: An Analysis of Current Laws and Regulations Affecting the Securities and Futures Industries: Swap Dealer Chief Compliance Officer Requirements—Recent Developments; Vol. 49, No. 4 (February 24, 2016)
Chapter 10. Dodd-Frank Implementation Update: Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross-Border Requirements (May 26, 2016)
Chapter 11. DOL Fiduciary Rule: Designating a Conflicts Officer or Conflicts Committee
Chapter 12. The Final Rule: DOL’s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions: Analysis and Critical Issues
Chapter 13. Laying the Foundation: The Regulatory Landscape
Index
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