10d. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate - OPEN)
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 the course of 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.
Learning Objectives:
Discuss steps that can be taken immediately upon discovering a potential issue.
Consider whether and when to conduct an internal investigation.
Understand how and when issues identified in examinations are referred to Enforcement.
Learn how regulators evaluate and credit cooperation by the firm, including self-reporting.
Understand whistleblower protection rules and considerations when there is a potential whistleblower.
Evaluate CCO liability considerations for compliance deficiencies or violations.
Sponsored by:
