Liability of Compliance Officers at Financial Institutions

Date: Wednesday, May 3, 2017
Time: 1:00 p.m. — 2:15 p.m. ET

CLE credit is available in multiple states.

In recent years, US securities regulators have increasingly focused on the regulated entities’ compliance personnel, holding many individually liable for the deficiencies in their firm’s handling of its compliance obligations. The regulators deem compliance officers the gate keepers whose efforts should detect and prevent securities laws violations at the firm.

Join Practical Law and Norton Rose Fulbright for a free 75-minute webinar that will discuss recent trends and issues in this field. The webinar presenters will discuss several topics, including:

  • Different approaches US securities regulators use in assessing individual liability of compliance personnel.
  • Recent cases against individual compliance officers by various regulators.
  • Best practices for minimizing the risk of a regulatory action or sanctions against compliance professionals at a broker-dealer or investment advisor.

A short Q&A session will follow.


Kevin James Harnisch, Partner, Norton Rose Fulbright US LLP

Ilana Beth Sinkin, Associate, Norton Rose Fulbright US LLP

Vlad Pavlovic, Senior Legal Editor, Practical Law Litigation (Moderator)

CLE credit is available for this webinar as follows:

State Credits Status
Arizona 1.25 Available for Credit
California 1.25 Accredited
Continuing Education Units 0.1 Accredited
Colorado 2.0 Reciprocal Credit Available
Connecticut 1.25 Available for Credit
Continuing Professional Education 1.5 Accredited
Florida 1.5 Self-Apply
Georgia 1.2 Accredited
General 1.2 Accredited
Hawaii 1.25 Accredited
Illinois 1.25 Accredited
Indiana 1.2 Accredited
Louisiana 1.25 Applied for Upon Completion
Minnesota 1.25 Applied for Upon Completion
Missouri 1.5 Accredited
Mississippi 1.2 Accredited
North Carolina 1.25 Accredited
New Hampshire 1.2 Available for Credit
New Jersey 1.5 Reciprocal Credit Available
New York 1.5 Accredited
Oregon 1.25 Applied for Upon Completion
Pennsylvania 1.0 Accredited
Texas 1.25 Applied For Upon Completion
Tennessee 1.25 Applied For Upon Completion
Virginia 1.5 Applied For Upon Completion
Vermont 1.25 Accredited
Washington 1.25 Applied

Practical Law provides practical, up-to-date resources across all major practice areas to help lawyers in law firms and in-house legal departments get up to speed quickly, save time and protect the bottom line.

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