Financial Services and Corporate Compliance

The Financial Services and Corporate Compliance program is an event designed for human resources, legal personnel and compliance executives in financial services, and public and private companies. A group of esteemed professionals in employment law, corporate compliance, and internal investigations will discuss approaches and solutions for preventing and defending whistleblower and related claims against financial services companies, as well as both public and private companies. The discussion will also address best practices in corporate compliance.

In-depth discussions will focus on complying with complex and sometimes conflicting background check laws, developing and implementing an effective ethics and compliance program, investigating and defending whistleblower claims, and setting an appropriate “tone at the top."

Topics to be addressed:

• The challenge of whistleblower claims brought by internal compliance personnel or in-house counsel
• Developing protocols among legal, compliance, and human resources departments for coordinating investigations of alleged internal wrongdoing
• Conducting background checks in an increasingly regulated world
• Updating employment agreements, restrictive covenants, and severance agreements to comply with the new Federal Defend Trade Secrets Act, the SEC’s recent enforcement orders in BlueLinx and Health Net, and OSHA’s new guidelines for settlement agreements.
• Ethics, compliance and incentive compensation: a candid discussion about developing effective policies and detecting unethical decisions
• New cybersecurity challenges

Registration: 8:00 - 8:30 am

Program: 8:30 am - 12:00 pm

Networking Lunch: 12:00 - 1:00 pm