Volcker Rule Compliance: Taking Stock on “Conformance Day”

07/21/2015 02:00 p.m. - 03:00 p.m. EDT

Financial Services, Banking + Financial Services, Financial Institutions + Financial Services, Broker-Dealer Compliance + Regulation, Investment Management, and Capital Markets

Henry M. Fields

Henry M. Fields

Teleconference

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Carlos Juarez
cjuarez@mofo.com
(212) 336-4041

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This webinar is being held on the date on which the general Volcker Rule conformance period expires. However, it’s no time to take a breather.  The purpose of the webinar is to help banking entities take stock of where they are on this watershed date, to consider appropriate enhancements or modifications to their programs, and to assess what continuing compliance efforts will be necessary.  Please join partners Henry Fields and Daniel Nathan, as they address, among other topics:

  • Was an effective process used in developing the bank’s compliance program?
  • What are the characteristics of a successful compliance program?
  • How should a multi-entity group deal with Volcker Rule compliance?
  • What are examiners likely to focus on in the first round of examinations?
  • What remains to be done after July 21, 2015?
  • What are the potential consequences of an inadequate program?

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