Compliance Program for In-House Counsel and Business Professionals

In-house counsel and compliance professionals in the financial service industry face unique challenges:

• Complying with federal law and SEC expectations, including reporting requirements and potential supervisory liability.
  
  
• Staying ahead of different, and sometimes conflicting, state law requirements.
  
  
• Dealing with the real-world structures of financial service organizations, which often creates conflicts of interest.

This program will provide guidance in addressing these challenges.

Presenter: Robert Robertson

If you are interested in attending this event, please contact Beth Goulston.

This program is pending CLE approval in North Carolina.