2c. ALL – Legal, Compliance and Risk Responsibilities During Strategic Corporate Transactions

This session will focus on the role of compliance, legal, and risk during a merger, an acquisition or other major corporate change. The panel will discuss advanced-level topics and share their experience and methods used to help manage a successful due diligence review, merger and/or acquisition, and the subsequent integration, while mitigating compliance and regulatory risks and preserving acquisition value.
Learning Objectives:
• Learn how to prepare for transition, and advise on technology, operations, performance, and internal controls issues in the acquisition or transfer of accounts
• Manage the compliance department’s role in the due diligence process, both as an acquiror and acquiree, and identify potential areas of concern early in the process
• Understand regulatory requirements for approval of change in ownership, control, or business operations, depending on the parties to the transaction and the applicable regulatory regimes
• Discuss integration issues, asset transfers, transition planning, and key milestones for success


Advanced                        Program Level: Panel Date: November 8, 2021 Time: 11:30 am - 12:45 pm Brad Busscher Jennifer Relien Oksana Wright

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