The regulatory landscape for chief compliance officers is rapidly changing as companies enter new markets, each with different rules of engagement. The complexities for CCOs are compounded when activity runs across markets, regulators and regulations, each with its own particular expectations of how the CCO will carry out its function. This webinar will address the evolution of the CCO and identify how the post Dodd-Frank compliance function operates. Covering updates on CFTC, SEC and FERC, the webinar will analyze recently promulgated regulations, enforcement actions, and staff interpretive materials related to CCOs. Presenters will also discuss enforcement trends, both for corporate and personal liability, as well as various ways that senior management and compliance officers establish clear areas for oversight.
Presenters:
Michael Dunn (former CFTC Acting Chairman), Michah Green, Matthew Kulkin, Charles Mills, Daniel Mullen, Richard Shilts & Marc Spitzer (former FERC Commissioner) of Steptoe & Johnson LLP
