|
Escutar o texto
 |
Lecturer: JD. Michael Hogan
The essence of compliance: seven characteristics of an effective compliance program
“It is common for practitioners of compliance to cite numerous common characteristics of a compliance program, and the number seven resonates with historical and mystical significance. While it is easy to consider these topics – whether six, seven or any other number – a check the box exercise, each characteristic in a list works in conjunction with the others to form an effective program. In other words, a weakness or failure in one area may create a vulnerability for the entire program. In this lecture, we will explore “seven characteristics” with a focus on how each area may represent a vulnerability to the overall program, rendering it, in the worst case scenario, ineffective.”
About the lecturer:
- Chief Compliance Officer of Charles Schwab Investment Mgmt
- Managing Director da Charles Schwab & Co.
- Lawyer in the USA
- More than 35 years of experience in the international financial industry in the areas of compliance, risk management, banking and legal in companies such as Brown Brothers Harriman & Co Wellington Management Company LLP e Charles Schwab
- Juris Doctor from Suffolk University Law School
- Master`s degree from Lindenwood University and bachelor’s degree from Bates College
- Holds FINRA Series 7
