transcript   Transcript

The Responsibilities of In-House Counsel and Compliance Personnel

Recorded on: Sep. 7, 2018
Running Time: 01:32:40

Full Transcript:

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Taken from the Web Program Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2018 Recorded September 2018 in New York

The Responsibilities of In-House Counsel and Compliance Personnel [01:32:40]
  • What are the types of “red flags” that should prompt gatekeepers to take action?
  • What does the government expect from in-house counsel and compliance personnel when they are exposed to “red flags”?
  • What are the risks to in-house counsel and compliance personnel whose responses are viewed as inadequate?
  • How can compliance and legal teams minimize their own liability  and protect their employers at the same time?
  • What can and should management do to supervise compliance and legal functions
  • What lessons can be learned from recent government cases

Panel Leader: Dixie L. Johnson

Speakers: Jay A. Dubow, Samantha Leventhal, Adriaen M. Morse Jr.

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Dixie L. Johnson and Victoria Bohannan, The Responsibilities of In-House Counsel and Compliance Personnel (June 14, 2018)
    Dixie L. Johnson
Presentation Material
  • Storming the Gatekeepers 2018 – Character Reference
  • Watchdogs Are Being Watched – An Overview of Potential Personal Liability of Chief Compliance Officers
    Jay A. Dubow
  • (s)
    Jay A. Dubow ~ Pepper Hamilton LLP
    Dixie L. Johnson ~ King & Spalding
    Samantha J Leventhal ~ Managing Director, Chief Risk Officer - US Wealth Management and Merrill EDGE, Bank of America Merrill Lynch
    Adriaen M. Morse ~ Morse Law Office PLLC
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