Event: Heightened Expectations & Risk Around Compliance Programs (Nov. 17)
Jonny Frank will participate in a Directors Roundtable Institute panel discussion featuring Chief Deputy Attorney General Jason Brown, Office of the New York Attorney General; Susan Schroeder, Senior Vice President, Deputy Chief Enforcement Department, FINRA; and Richard Strassberg, Partner at Goodwin.
The speakers will provide an overview of key regulatory issues for financial services institutions and other industry compliance matters, as well as how corporate leaders can ensure practical actions are taken on:
- Prosecutors’ heightened expectations of internal investigations
- Assessing pre-incident compliance programs
- Elements of effective remediation
- Increasing expectations around “big data” and transaction monitoring
- Avoiding, selecting and interfacing with government-imposed monitors
The panel will be held at the Harvard Club in New York City on Thursday, November 17, 8:30-10:30 A.M. Please register to attend.