The DOJ Gets Personal: 6 Things You Should Know About the Yates Memo
Duration : 60 Minutes
Did you know that failure to act even without intent of wrongdoing, is now enough to warrant prosecution of a Chief Compliance Officer? Did you know that one of three violations specified by the SEC in a case involving a Chief Compliance Officer was failure to conduct an annual review of its compliance program? Did you know another Chief Compliance Officer was fined $60,000, personally, in part for failure to recommend written policies and procedures to support an existing Conflict of Interest Policy? What else do you need to know? To find out, join this webinar: The DOJ Gets Personal: 6 Things You Should Know About the Yates Memo.
Course Objectives:
• Current DOJ thinking about personality liability for corporate wrong-doing
• What is replacing the "Deep Pockets" mentality
• The six most important points in the Yates Memo
• New Risks for Chief Compliance Officers
• The Demise of Ceresney Standard: SEC Enforcement and the role of Intent in Acts of Omission and Commission
• Recent case history involving prosecution of corporate compliance officers as individuals
• What you can do to protect yourself and your organization
• In addition, participants will take away an educational infographic that visually highlights the 6 key points of the Yates Memo that compliance officers and other C-suite executives should know
Course Outline:
• Overview of advisory landscape
• Why the Yates Memo is a game-changer
• The Yates Memo: 6 things you should know
. What would you do for co-operation credit?
. Timing issues. Who is looking at what when?
. Criminal and civil attorneys - "Can we talk?"
. Going it alone: no more riding on coattails
. Running out the clock won't work either
. "Deep pockets" don't matter anymore
• Sins of omission not just commission
• Case Study: BlackRock
• Case Study: SFX
• Late breaking case study/news
• Your next move: protecting yourself and your organization
What You Get:
• Training Materials
• Live Q&A Session with our Expert
• Participation Certificate
• Access to Signup Community (Optional)
• Reward Points
Who Will Benefit:
This 60-minute overview will be of value to Corporate Compliance Officers and Other C-Suite Executives.
The course will benefit the following stakeholders:
• All Corporate Officers subject to SEC and/or DOJ Enforcement
• Chief Compliance Officers
• Privacy and Security Officers
• Chief Executive Officers
• Chief Financial Officers
• Revenue Cycle Executives
• In-house Counsel
Please reach us at 1-888-844-8963 for any further assistance or if you wish to register
