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CLO/CCO Liability as Supervisors

June 10, 2011

Sutherland Seminar

Recent cases are redefining the boundaries of when legal and compliance personnel will be deemed liable for supervisory failures. In this one-hour seminar, we will review and analyze:

•  The recent SEC/FINRA cases imposing supervisory liability
•  Steps to take to avoid supervisory liability
•  What to do when problems arise in your firm

Join Cliff Kirsch, Neil Lang, and Brian Rubin, partners in Sutherland's Financial Services and Securities Litigation practices, as they lead a discussion on CLO/CCO liability and the impact on firms, including:

•  How to identify and assess risks of being deemed a supervisor
•  How other firms are reacting to these new developments
•  Practical considerations to implement in your firm

One hour of CLE Ethics credit has been approved in New York; assistance with individual applications for other jurisdictions provided upon request.

For more information and to register for this event, click here

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Eversheds Sutherland is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

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