Personal Liability for Compliance Officers: How to Protect Yourself, SIFMA C&L 2017 Annual Seminar

  • San Diego, CA

Personal Liability for Compliance Officers: How to Protect Yourself

Dan Gallagher, President, Patomak Global Partners, LLC

Panelists:

John Caruso,  Principal, KPMG, LLP

Howard Sendrovitz, Executive Director, Deputy Chief Compliance Officer, J.P. Morgan Securities LLC

Paul Tyrrell, Partner, Sidley Austin LLP