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.
Jonny Frank, a Partner with StoneTurn Group, brings more than 30 years of public, private and education sector experience in forensic investigations, compliance and risk management. He joined StoneTurn in […]