Fall 2016 Symposium | Chief Compliance Officers: Their Evolving Role

American University Business Law Review announces the Fall 2016 Symposium

In the wake of the financial crisis, compliance officers have assumed enhanced responsibilities. The responsibilities and risks of chief compliance officers continue to be a source of tension between industry and regulators. The symposium will address the appropriate scope of responsibilities of a CCO, issues inherent in their role as corporate advisor, the risks a CCO should be aware of, and how to mitigate those risks.

You may apply for 4.5 Continuing Legal Education (“CLE”) credits for $220 by contacting Jennifer Dabson, Director of Office of Special Events and Continuing Legal Education, at 202 274-4077 or jdabson@wcl.american.edu.

Please click here to access the CCO Chart.

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Resources:

Jeremiah Buckley, The Compliance Officer Bill of Rights, American Banker (Feb. 22, 2016), http://www.americanbanker.com/bankthink/the-compliance-officer-bill-of-rights-1079480-1.html.

Jeremiah Buckley & Thomas Sporkin, To Restore Trust in Banks, Build Ethics into Business Decisions, American Banker (Dec. 8, 2014), http://www.americanbanker.com/bankthink/to-restore-trust-in-banks-build-ethics-into-business-decisions-1071537-1.html.

Benjamin B. Klubes et al., Has the Game Changed? New Considerations for General Counsel Post-Yates, Buckley Sandler LLP (Sep. 30, 2016), http://www.buckleysandler.com/news-detail/has-the-game-changed-new-considerations-for-general-counsel-post-yates.

Linda Iannone, 5 Questions Your Board Should Be Asking the Chief Compliance Officer, The Center for Auto Finance (Sep. 14, 2016), http://autofinanceexcellence.org/5-questions-your-board-should-be-asking-the-chief-compliance-officer/.

Bill Baer, Principal Deputy Associate Attorney General, Remarks at Society of Corporate Compliance and Ethics Conference (Sep. 27, 2016) (transcript available at https://www.justice.gov/opa/speech/principal-deputy-associate-attorney-general-bill-baer-delivers-remarks-society-corporate).

Memorandum from Deputy Att’y Gen. Sally Quillian Yates, Individual Accountability for Corporate Wrongdoing (Sept. 9, 2015), available at http://www.justice.gov/dag/file/769036/download [hereinafter Yates Memo].

Gisela de Leon-Meredith, Exchange Act Release No. 44969, 76 S.E.C. Docket 220 (Oct. 23, 2001), available at https://www.sec.gov/litigation/investreport/34-44969.htm [hereinafter Seaboard Report].

Accommodations near American University Washington College of Law:

metromap
Embassy Suites Chevy Chase Pavilion
1.3 miles or 1 metro stop away (Friendship Heights)
Courtyard Chevy Chase
1.5 miles or 1 metro stop away (Friendship Heights)
Omni Shoreham Hotel
2.6 miles or 3 metro stops away (Woodley Park-Zoo)
Washington Marriott Wardman Park
2.7 miles or 3 metro stops away (Woodley Park-Zoo)