Compliance Risk Assessment

Financial Markets and Regulation Partner and Co-Chair Carl Kennedy will present a guest lecture during the "Compliance Risk Assessment" course at the Fordham University School of Law on Thursday, October 10. The course provides an overview of the basic elements of the Compliance Risk Assessment and how the Assessment functions within an overall Compliance Program. Topics covered during the lecture will include:

• Role of an Outside Advisor Focusing on Regulatory Compliance
• Partnership Between Legal, Compliance and Outside Counsel
• Types of Legal Advisory Work Performed by Outside Counsel:
  • Information on New Registrations and Business Lines
  • Prepare Written Policies and Procedures
  • Provide Legal Memoranda/Opinions on Complex Legal Issues
  • Assist with Compliance Audits, Testing and Assessments
  • Provide Information and Legal Support in Connection With Regulatory Investigations and Enforcement Action

Learn more about the "Compliance Risk Assessment" course.