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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.