Time: June 5, 2018 from 1pm to 2pm
Location: 26468 E Walker Dr, Aurora, Colorado 80016
Street: 26468 E Walker Dr, Aurora, Colorado 80016
Website or Map: https://goo.gl/VeupFv
Event Type: online
Organized By: Training Doyens
Latest Activity: May 10
On a number of occasions I have been brought in to lead projects addressing recently discovered compliance failures. We will discuss a number of these as real case studies. It is more common than you might think because no one is going to present in a seminar or industry meeting how they got in trouble, how they worked their way out, and how they dealt with the relevant regulators. So there is very little learning from mistakes within the industry. This is a chance to share some of this learning.
WHY SHOULD YOU ATTEND
There is increasing discussion that, rather than punish stockholders, individual officers should be personally held accountable for their decisions causing failures to act in compliance. Already the Sarbanes-Oxley law specifically requires that companies, including banks, have accurate financial reports as well as sound controls as required to assure the material accuracy of those reports. CEOs and CFOs have to personally sign statements to that effect and can be charged personally under some circumstances.
In my career there have been many times when I have been brought in as a consultant or a Senior Executive to take over non-compliant operations or to establish projects to fix non-compliant operations. Sometimes this happened after a specific executive was fired. At other times, we were able address the problems in time to avoid ending anyone’s career.
It is said that a smart person learns from their mistakes; but a wise one learns from others’ mistakes. This is a chance to learn from many other people’s hard experience.
WHO WILL BENEFIT
Banking, Brokerage, or any Financial Services company
For more detail please click on this below link:
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