10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN)
This panel will delve into lessons learned from enforcement actions ripped from the headlines. This session will focus on the reason for the failure of ethics programs, with specific attention to up-to-date regulatory scrutiny and expectations.
This session is open to regulators but closed to members of the press.
Learning Objectives
Analyze what went wrong in high profile cases of violations of ethical codes of conduct, examining the specific concerns of the regulators.
Discuss the role of the Compliance Department when navigating problematic employee behavior resulting in the most challenging ethical scenarios.
Learn how to mitigate common ethical pitfalls.
Review the current Enforcement Division approach to CCO Liability
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