8e. ALL – When Reporting Compliance Issues Up the Chain Doesn’t Work


An important function for compliance officers is to provide advice to senior management on regulatory and compliance matters. This session will address a range of options when the compliance officer is not completely satisfied with the decisions of senior management.
Learning Objectives:
• Discuss the range of options and best methods for escalating compliance matters
• Learn ways to manage the politics of escalation when there are disagreements
• Know when to advocate, build consensus, meet with the Board of Trustees and seek external advice
• Weigh relevant decision-making factors and how to work through available options

Sponsored by

Basic                        Program Level: Panel Date: November 9, 2021 Time: 3:30 pm - 4:45 pm Elizabeth Cope Jennifer Selliers Kevin Spence

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