As highlighted below, several partners in Seyfarth’s Securities & Financial Litigation Practice are participating in the Financial Markets Association (FMA) 2014 Securities Compliance Seminar. In addition to the presentations below, Kevin Lesinski, Co-Chair of Seyfarth’s Securities & Financial Litigation Practice, is on the conference planning committee.
By attending this seminar, participants will acquire an understanding of (as well as tools for dealing with) the challenges and regulatory “hot button” priorities currently facing compliance professionals, risk managers and internal auditors in the bank-affiliated broker-dealer industry.
Internal Audit Hot Topics
Wednesday, April 23
Will Pricket, Chair of Seyfarth’s Securities & Financial Litigation Practice, will moderate “Internal Audit Hot Topics,” which will:
- Examine the evolving regulatory expectations of internal audit
- Explore leading practices in data analytics/continuous monitoring
Discuss significant focus areas/hot topics (i.e. models, third party management, etc.) and audit approaches to those areas
Whistleblowers and CCO Liability
Thursday, April 24
Christopher Robertson, Co-Chair of Seyfarth’s Whistleblower Team, will join this panel, “Whistleblowers and CCO Liability.” This presentation will cover the current state of whistleblower Law under Dodd-Frank and Sarbanes-Oxley -- what is protected activity?
- How to handle a whistleblower in connection with the investigation of the whistleblower’s claims
- How to address whistleblowers and violations of company document and confidentiality policies
- How to negotiate an exit of a whistleblower while protecting the whistleblower’s right to speak with the government
- Understanding who is accountable in the eyes of the regulators
- Review cases -- the Urban case and beyond
- Striving to stay independent vs. crossing the line
Tips to avoid regulatory liability
For more information and to register, click here.