Regulatory Compliance Association Reviews

Personal Liability of Chief Compliance Officers and Legal Counsel

EY

Date: July 18, 2018
General Session: 12:00 PM ET to 1:30 PM ET
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours)? Attend via the RCA’s Online University (On Demand) — free for Practice Edge Elite Members

Become a Practice Edge Elite Member

Description

This Session will discuss the legal basis for potential personal liability of individual employees of investment management firms serving as in-house legal counsel, chief compliance officers or portfolio managers.  The Session will address both the applicable technical legal standards of liability under applicable securities and other laws, and attempt to provide practical advice for individuals serving in one or more of those capacities.

Learning Objectives

Specific issues to be discussed include:

  • Primary liability for wrongdoing
  • Standards for aiding and abetting liability
  • Potential liability for failure to supervise other employees
  • Scope of duty to report violations
  • Impact of whistleblower rules
  • Effect on potential liabilities of performance of multiple roles (such as GC and CCO)
  • Practical considerations and advise

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Christopher Wells, JD, Partner, Proskauer

Guest Lecturer

TBD

Register Now