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In April 2019, the U.S. Department of Justice issued its “Evaluation of Corporate Compliance Programs." And in January, the New York Department of Financial Services issued its “Guidance on Whistleblowing Programs." These agencies' strong focus on internal compliance programs and internal investigations makes this a timely subject of discussion.
What are best practices, and how are financial services entities responding? The presenters will discuss these issues in a roundtable format.
Registration: 8:00 - 8:30 am
Program: 8:30 - 10:00 am