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In an era of heightened SEC enforcement, do you know when the SEC will hold you personally liable for employee misconduct? How do you protect yourself and how can compliance automation help you mitigate liability?Join NSCP and Compliance Science for a webinar discussion on CCO Liability and how compliance automation can help on April 21st from 12:30 pm – 1:30 pm EST. The discussion will be moderated by Dave Nash, VP Customer Success, Compliance Science with panelists Denise Eaton, Principal, Carlyle Group and Michael Isaac, CCO, Stadion Money Management.Topics for discussion include:
• CCO Liability: Know the SEC’s and FINRA’s expectations for compliance oversight and when you can be held personally liable.
• Liability Protection: Avoid the common pitfalls through sound policies and appropriate procedures that distinguish the CCO role from the supervisor role.
• Automation Fundamentals: Learn the must have features of any compliance automation system and where to find the low hanging fruit in automation.
• Automation Gains: Leverage your human resources and elevate yourself to a higher level with SEC and FINRA examiners through automation
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