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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

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