The Evolving Regulatory Landscape: Practical Insights for Compliance Officers
This webinar was co-hosted with Todd Cipperman and took place on Nov 17th 2016. In it we assess the most impactful regulatory developments of 2016, review results of Cipperman Compliance's recent CCS survey of financial industry C-Suite opinion leaders, and Todd gives you his take on the fluid regulatory environment.
- Intro (3:06)
- Personal liability (10:04)
- Fiduciary duty (9:54)
- Gatekeeper liability (3:26)
- Compliance programs & CCO liability (8:13)
- 2016 - C suite compliance survey (1:16)
- The election & Dodd Frank (5:06)
- Q&A: Your questions answered (2:03)
You can access the slides from this webinar here
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