How a company handles an internal investigation of a potentially serious matter can make a significant difference in convincing a regulator to back off from bringing an enforcement action or seeking a big penalty. In-house counsel have a crucial role to play in making strategic decisions concerning the scope of the investigation, handling whistleblowers, protecting attorney-client privilege for the company, interacting with regulators, and deciding whether to hire outside counsel.
Futures Industry Association, 2018, Law & Compliance Conference, Panelist – CFTC Reporting
Tim was the featured speaker on regulatory and compliance developments in the United States at The European Compliance Conference (TECC) 2018 in Warsaw, Poland. TECC is sponsored by the Securities House Compliance Officers Group, an educational group organized by and for international compliance professionals.
FINRA Rules and the arbitration landscape are constantly changing. FINRA members and practitioners must stay sensitive to the issues and new developments to reduce the chances of surprise awards and enforcement actions.
Greater Richmond Compliance Roundtable, Speaker, "Cybersecurity and Data Protection for Compliance Professionals"
Speaker, Polycon2018 conference in Nassau, Bahamas