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Legal Quick Hit: General Counsel and Chief Compliance Officer Supervisory Liability

April 27, 2011

Association of Corporate Counsel Financial Services Committee’s Monthly Call

Sutherland Partner Brian L. Rubin will present a Legal Quick Hit on "General Counsel and Chief Compliance Officer Supervisory Liability," at the April 27, 2011, Association of Corporate Counsel Financial Services Committee’s monthly call.

Brian’s presentation will concentrate on what can be learned from recent disciplinary actions taken by the SEC and FINRA against attorneys and compliance officers responsible for supervising others.

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click to watch Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Washington, DC
Adam C. Pollet, Associate
Washington, DC
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