FWA - Compliance, Risk Management and the Bottom Line – How Do They Co-Exist?
October 4, 2012
New York, NY
Financial Women's Association's ("FWA") first distinguished speaker of the fiscal year, Richard "Rick" Ketchum, FINRA's Chairman and CEO, speaks one-on-one with Linda Lerner, FWA's General Counsel and Partner in the Corporate group at Crowell & Moring LLP, to address the critical issues of managing compliance, risk and profitability.
Over the last several years, we have seen firsthand financial regulation evolve to a mainstream topic in major newspapers, political campaigns, and legislative policy.
Although regulators have made significant strides in focusing their efforts on a risk-based approach, financial institutions have experienced substantial challenges in controlling risk and complying with regulations while working toward increasing profitability.
This program will examine the issue from an historic perspective and discuss possible innovative strategies that can be implemented by firms and regulators that will better incentivize compliance, risk management and investor protection while allowing firms to responsibly maximize profits.
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