2c. ALL – The Roles of Compliance During Corporate Change (Advanced)

This session will focus on the role of the compliance department in the midst of 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 maintaining a culture of compliance.

Learning Objectives:

  • Learn how to prepare for transition, mergers and acquisitions of firms and compliance departments
  • Manage the due diligence process and address potential areas of concern
  • Understand regulatory requirements for approval of change in ownership, control, or business operations
  • Discuss integration issues, transition planning and key milestones for success


Sponsored by:


Advanced                        Program Level: Date: October 19, 2020 Time: 11:45 am - 1:00 pm Julia Braithwaite Lynn McGrade Christy Moccia

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