file-o file-word file-excel file-powerpoint file-image file-archive file-audio file-movie file-code file-openoffice file-css menu googleplus facebook instagram twitter feed youtube vimeo2 lanyrd flickr picassa deviantart github wordpress blogger tumblr yahoo soundcloud skype linkedin lastfm delicious stumbleupon stackoverflow pinterest foursquare cross arrow-left arrow-down arrow-up arrow-right arrow-left2 arrow-down2 arrow-up2 arrow-right2 arrow-left3 arrow-down3 arrow-up3 arrow-right3 search

You are here

CFTC, FERC & SEC Updates for CCOs

part of the FIA Law & Compliance Division webinar series
13 October 2016 10:00am to 11:00am EDT

The regulatory landscape for chief compliance officers is rapidly changing as companies enter new markets, each with different rules of engagement. The complexities for CCOs are compounded when activity runs across markets, regulators and regulations, each with its own particular expectations of how the CCO will carry out its function. This webinar will address the evolution of the CCO and identify how the post Dodd-Frank compliance function operates. Covering updates on CFTC, SEC and FERC, the webinar will analyze recently promulgated regulations, enforcement actions, and staff interpretive materials related to CCOs. Presenters will also discuss enforcement trends, both for corporate and personal liability, as well as various ways that senior management and compliance officers establish clear areas for oversight.

Presenters:

Charles Mills, Michah Green, Marc Spitzer (former FERC Commissioner), Michael Dunn (former CFTC Acting Chairman), Richard Shilts, Daniel Mullen and Matthew Kulkin of Steptoe & Johnson LLP


View Recorded Webinar l Download Presentation

Close

Close

Menu

Menu

Back to FIA