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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.