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Financial Services Industry Regulatory Compliance Forum 2017
Clifford E. Kirsch
Banking, Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Andrew Ceresney, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Keynote Speech, Remarks Before ACI’s 33rd International Conference on the FCPA (November 30, 2016)
Chapter 2. Carole L. Basri and Irving Kagan, Ch. 11: Corporate Compliance Programs, Practising Law Institute, Corporate Legal Departments: Practicing Law in a Corporation (4th Edition) (November 2011)
Chapter 3. Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, “The Role of Big Data, Machine Learning and AI in Assessing Risks: a Regulatory Perspective,” Remarks Before the 19th Annual Operational Risk North America Conference, New York, NY (June 21, 2017)
Chapter 4. Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017)
Chapter 5. Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017) (PowerPoint slides)
Chapter 6. Brian L. Rubin and Amy Xu, #CCOsGoingViral: An Analysis of SEC and FINRA Enforcement Actions Against Compliance Officers, Written for Millennials (and those who work with Millennials) (September 2016 to February 2017), Practical Compliance & Risk Management for the Securities Industry (July–August 2017)
Chapter 7. Ch. 32A: Broker-Dealer Chief Compliance Officer Liability, Practising Law Institute, Broker-Dealer Regulation (2nd Edition) (November 2011)
Chapter 8. FINRA Report on Conflicts of Interest (October 2013)
Chapter 9. Attorney-Client Privilege in Investigations: Evolving Standards
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