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Liability and responsibility
It is a common practice globally for regulators to hold accountable various senior-level persons for compliance failures. These may include board members, senior executives, compliance leaders, and the broad employee base. These delineations of responsibility lead us down the path of personal liability. In this lecture, we will explore examples of responsibilities of individuals that have led to their personal liability which can result in personal reputational damage, bars from employment in the industry, and monetary fines and penalties. We will show how this trend validates the importance of conducting a compliance program with a continuous improvement overlay.
- Chief Compliance Officer of Charles Schwab Investment Mgmt;
- Managing Director da Charles Schwab & Co. e advogado nos EUA;
- 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.
- Business Lawyer specialized in Labor Law and Digital Law;
- Partner at Mauro Caramico Advogados;
- Has a postgraduate degree in: i) Business Law (FMU); ii) Labor Law and Labor Procedure (IASP); iii) Corporate Law and Compliance (EPD); iv) Digital Law and Data Protection (EBRADI); v) LGPD and GDPR (FMP/Faculty of Law of Lisbon);
- Holds a postgraduate degree in Labor Law, Compliance and LGPD (Legal Verb);
- Currently pursuing a Master’s degree in Legal Sciences – Risks and Compliance (Ambra University).