3c. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate)

Monday
Written By Meghan Flanagan

This panel will address the next steps to take once a firm has identified a potential securities law violation, compliance weakness or deficiency, or if such an issue has been identified during an examination.  This panel will help CCOs, and other legal and compliance professionals learn how to evaluate and navigate such issues towards achieving the most favorable outcome while managing regulatory and other legal risks.  This session is open to regulators but closed to members of the press.

Featured
Geoff Darmstaedter
Geoff Darmstaedter

Chief Compliance Officer

COUNTRY Capital Management Company

Robin Freeman
Robin Freeman

Chief Compliance Officer

LaSalle Investment Management

Michelle Jacko
Michelle Jacko

Managing Partner and CEO

Jacko Law Group, PC

Meghan Flanagan
Previous

3b. ALL – Demystifying CRD and IARD:  Navigating the Essentials (Basic)
Next

3d. IA/PF - The Marketing Rule: Practical Guidance from What We Have Learned (Intermediate)