9a. ALL – Managing CCO Liability In Uncertain Times

CCOs are charged with keeping their programs going through an ever-increasing maze of regulation, and challenging market conditions. To complicate the already complicated, CCOs must also be aware that they may be found personally liable for the failings of their compliance programs. Panelists will discuss the current environment surrounding potential CCO liability and help attendees become more informed so that they can better manage their respective compliance programs and risk of personal liability.
Learning Objectives:
• Examine the recent SEC guidance, enforcement actions, and speeches addressing CCO liability
• Discover traps for the unwary, including inadvertent supervisory responsibility, as well as advice for compliance officers who wear multiple hats
• Consider ways to demonstrate the efficacy of the firm’s compliance program, including the qualifications of the CCO
• Discuss best practices for helping ensure compliance officer protection under E&O insurance and evaluate the need and potential benefit of CCO liability coverage

Sponsored by


Intermediate                        Program Level: Panel Date: November 10, 2021 Time: 9:00 am - 10:15 am Robert (Rob) Burks Genna Garver Angela Palmer

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