Lecture “Tone at the top: the partnership between executives and compliance staff”

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Lecturer: JD. Michael Hogan
Dalton Cusciano

Tone at the top: the partnership between executives and compliance staff

“Tone at the top is often cited as the foundation on which an effective compliance program is built. Implicit in this observation is the reality that Compliance staff may design a program that meets best practices in all regards, but the program may still be ineffective if executive leadership does not visibly and vocally support its importance. In this lecture, we will explore the relationship between executive leadership and compliance staff to understand how a weak or limited relationship may represent another point of vulnerability in compliance programs”

Michael Hogan

  • Chief Compliance Officer of Charles Schwab Investment Mgmt;
  • Managing Director da Charles Schwab & Co. and 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.

Dalton Cusciano

  • Prosecutor at the Jorge Duprat Figueiredo Foundation for Occupational Safety and Medicine (Fundacentro);
  • More than 15 years of experience in law and administration;
  • PhD from the Mediterranea International Center for Human Rights Research at the Università degli Studi Mediterranea di Reggio Calabria;
  • Doctor in Public Administration and Government from FGV/SP;
  • Master’s in Law and Development from FGV/SP;
  • Bachelor’s degree in Law from FGV/SP

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