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Webcasts & Speaking Engagements

Buckley Sandler Webcast: How Compliance and Cross-Selling Co-Exist - Incentive Compensation, Sales Practices, and Compliance Management

With heightened scrutiny by financial regulators of sales practices and unauthorized account opening, banks are preparing for protracted and expansive internal and external assessments of their policies and practices in these areas. As the list of financial regulators scrutinizing these programs and the controls around them grows, many institutions are also taking a close look at themselves to evaluate their regulatory risk with respect to their incentive compensation programs and sales practices.

Buckley Sandler attorneys Valerie Hletko, Andrea Mitchell, and Michelle Rogers engaged in a discussion addressing factors institutions may wish to consider as they assess their own models and structures, and offer practical tips for compliance management relating to incentive compensation and sales practices. The discussion also addressed what it means for regulatory supervision and enforcement going forward, and focus on the following:

  • Congressional hearings and regulatory investigations
  • Tips for conducting risk assessments
  • Compliance management and governance best practices surrounding incentive compensation and sales practices, including incentive structures, implementation of relevant regulatory guidance, and controls


When: Thursday, November 17, 2016 from 11 am - 12 pm ET
 
About Buckley Sandler

With more than 150 lawyers in Washington, DC, Los Angeles, New York, Chicago, and London, Buckley Sandler LLP offers premier enforcement, litigation, compliance, regulatory, and transactional services to financial services institutions, as well as leading and early stage companies, joint ventures, private equity funds, and individual clients throughout the world. "The best at what they do in the country." (Chambers USA)