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Financial services industry regulatory compliance & ethics forum 2009

Author: Clifford E Kirsch; Practising Law Institute.
Publisher: New York, NY : Practising Law Institute, ©2009.
Series: Corporate law and practice course handbook series, no. B-1775.
Edition/Format:   Print book : EnglishView all editions and formats
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Genre/Form: Rules
Document Type: Book
All Authors / Contributors: Clifford E Kirsch; Practising Law Institute.
ISBN: 9781402413018 1402413017
OCLC Number: 466788255
Notes: "Ord #21820"--Spine.
Prepared for distribution at the program of the same name held November 11, 2009; New York City, New Brunswick Groupcast Location, Live Webcast.
Index begins with letter C and is erratic.
Description: 268 pages : portraits, charts ; 23 cm
Contents: Speech by SEC Staff: Strengthening Examination Oversight: Changes to Regulatory Examinations, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, June 17, 2009 --
Speech by SEC Staff: "Compliance in Today's Environment: Step Up to the Challenge" Remarks Before the IA Compliance Best Practices Summit 2009, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, U.S. SEC, March 12, 2009 --
The Transformation of Corporate Criminal Law; Brooklyn Journal of Corporate, Financial & Commercial Law, Fall 2006 / Leonard Orland, University of Connecticut School of Law --
The Evolution of the Law of Corporate Compliance in the United States: A Brief Overview / Rebecca Walker, Kaplan & Walker LLP --
Regulatory Compliance Essentials GLB Act and FCRA/FACTA Privacy and Data Security Basics / Tanya L. Forsheit, InfoLawGroup LLP --
Money Laundering: A Primer / Sung Hee Suh, Schulte Roth & Zabel LLP --
What You Need Know About the Foreign Corrupt Practices Act and Why It Matters / Sharie A. Brown, DLA Piper LLP --
DLA Piper FCPA Alert: Investor Who Learned About Bribes But Failed to Get out Convicted of FCPA Conspiracy / Sharie A. Brown, DLA Piper LLP --
Identification of "Red Flags" For Possible Violations of Key Us Laws for Companies Operating Overseas / Sharie A. Brown, DLA Piper LLP --
Committee on Corporate Counsel Newsletter: Steps to an Effective Foreign Corrupt Practices Act Compliance Program, Volume 20. No. 4, Summer 2006 / Sharie A. Brown, DLA Piper LLP --
Codes of Conduct: The Next Generation / Carole L. Basri, The Corporate Lawyering Group LLC --
Corporate Political Activities: Pay To Play, Campaign Finance, Lobbying, and Gift Laws / Ki P. Hong, Skadden, Arps, Slate, Meagher & Flom LLP --
Chart Summarizing State and Federal.
Series Title: Corporate law and practice course handbook series, no. B-1775.
Responsibility: chair, Clifford E. Kirsch.

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