Risk Management for Compliance Officers
-
Steven W. Ortquist, President, Arete Compliance Solutions, LLC. Scott Grubman, Partner, Chilivis, Cochran, Larkins & Bever.
November 4, 2019
-
How and when are compliance officers at risk?
What guidance, enforcement actions and war
stories tell us
-
Managing and mitigating risks: How can you
protect yourself?
-
What to do if you run into a challenge
THIS DOCUMENT IS ONLY AVAILABLE TO ATTENDEES OR PURCHASERS. PLEASE LOG IN OR PURCHASE ACCESS.
THIS RECORDING IS ONLY AVAILABLE TO ATTENDEES AND PURCHASERS. PLEASE LOG IN OR PURCHASE ACCESS.