Date & Time
Wednesday, January 31, 2024, 2:00 PM - 3:00 PM
Name
Effectively Conducting Internal Investigations in Highly Regulated Environments
Description
This session will focus on how organizations can effectively lead investigations in highly regulated environments and identify gaps in their regulatory and compliance practices. Discussion topics include:
- Key roles required to conduct a proper investigation
- Principles, guidelines, and processes that should be introduced during an investigation
- Strategies for navigating ambiguous and complex regulatory environments
- How to evaluate your current regulatory and compliance practice, identify gaps, and make recommendations for remediation to avoid or minimize future investigations
Speakers
Lesley Marlin - FINRA
Maria F Gallo - Transperfect
Matthew Baker - Baker Botts LLP
Trisha Sircar - Katten Muchin Rosenman LLP
Kelly Schulz - Uber
Maria F Gallo - Transperfect
Matthew Baker - Baker Botts LLP
Trisha Sircar - Katten Muchin Rosenman LLP
Kelly Schulz - Uber
Eligibility
CLE
Location Name
Nassau West