Key Issues Facing Boards of Directors of Financial Institutions and Corporations: Heightened Expectations & Risk Around Compliance Programs

Directors, C-Suites, and General Counsel are increasingly focusing on compliance – a critical aspect to every business operation. Mistakes can seriously heighten corporate and personal liability. Not only do the DOJ and SEC have an impact on compliance, but state and local regulators – particularly in New York – are also intensely overseeing compliance initiatives and ethics of financial services institutions and other industries.

Goodwin partners James Gatta and Richard Strassberg join Alexander Vasilescu, New York Head of Litigation at the United States Securities and Exchange Commission, and Yan Cao, Principal at Cornerstone Research, as the panel for this program. They will provide an overview of key federal and state regulatory and compliance issues in financial services and other industries.