• 2014 Sponsor
    Barnes & Thornburg L&C 2014
  • 2014 Sponsor
    Bingham_LC
  • 2014 Sponsor
    Cadwalader L&C 2014
  • 2014 Sponsor
    Cleary Gottlieb L&C 2014
  • 2014 Sponsor
    CME L&C 2014
  • 2014 Sponsor
    Covington_LC
  • 2014 Sponsor
    Davis Polk L&C 2014
  • 2014 Sponsor
    DLA Piper L&C 2014
  • 2014 Sponsor
    Foley_LC
  • 2014 Sponsor
    ice_LC
  • 2014 Sponsor
    KL-Gates_LC
  • 2014 Sponsor
    katten_LC
  • 2014 Sponsor
    Latham L&C 2014
  • 2014 Sponsor
    Milbank L&C 2014
  • 2014 Sponsor
    morganlewis_lc
  • 2014 Sponsor
    Morrison & Foerster L&C 2014
  • 2014 Sponsor
    NFA_LC
  • 2014 Sponsor
    proskauer_lc
  • 2014 Sponsor
    Schiff Hardin L&C 2014
  • 2014 Sponsor
    Skadden L&C 2014
  • 2014 Sponsor
    Stroock & Stroock & Lavan L&C 2014
  • 2014 Sponsor
    sutherland_LC
  • 2014 Sponsor
    WFG L&C 2014
  • 2014 Sponsor
    wilmerHale_lc
  • 2014 Media Partner
    Compliance Intelligence L&C 2014
FIA Law and Compliance Division Presents:
Conference on the Regulation of Futures, Derivatives and OTC Products
Friday, May 15, 2009 at 10:30 AM
18. How to Maintain a Compliance Culture in a Declining Profits Environment

Baltimore Ballroom 1/2

 

This session will discuss the challenges of developing an effective compliance program as firms are under pressure to cut costs across the board. The panel will discuss where the compliance department belongs in an organization: reporting to a chief risk officer, a general counsel or the chief executive officer. How effective is the use of technology to provide for training of employees compared to tailored, in-person compliance training programs? Do regulators and/or the firms themselves have concerns that there has been a general decline in ethics among financial services personnel?


Moderator:
Barbara Bishop, Attorney at Law

Speakers:
Gary Distell, Partner, Katten Muchin Rosenman
Barbara Lorenzen, Associate Regional Director for Examinations, Securities & Exchange Commission
Veronica Rendon, Partner, Arnold & Porter
Mary Beth Rooney, Director, Citigroup Global Markets
Tracy Lowery Whille, Global Director of Compliance, MF Global

2001 Pennsylvania Avenue N.W.
Suite 600
Washington, D.C. 20006
Privacy Policy

Powered by KVENTURES
(202) 466-5460
(202) 296-3184 fax
www.futuresindustry.org