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Lecture "The essence of compliance: seven characteristics of an effective compliance program"

Lecture: “The essence of compliance: seven characteristics of an effective compliance program” Lecturer: JD. Michael Hogan Date: September 13th, 2022 https://eventos.ambra.education/ ========================================================= The essence of compliance: seven characteristics of an effective compliance program “It is common for practitioners of compliance to cite numerous common characteristics of a compliance program, and the number seven resonates with historical and mystical significance. While it is easy to consider these topics – whether six, seven or any other number – a check the box exercise, each characteristic in a list works in conjunction with the others to form an effective program. In other words, a weakness or failure in one area may create a vulnerability for the entire program. In this lecture, we will explore “seven characteristics” with a focus on how each area may represent a vulnerability to the overall program, rendering it, in the worst case scenario, ineffective.” ========================================================= About the lecturer: Chief Compliance Officer of Charles Schwab Investment Mgmt Managing Director da Charles Schwab & Co. e advogado nos EUA 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. ========================================================= Organized by: Content for All by Ambra Content for All is organized by Ambra University, which offers free content (lectures, short courses, workshops, congresses, among others). #SouAmbra #PalestrasAmbra #ContentForAllByAmbra #MestradoEmDireito #Mestrado #Direito #AmbraUniversity