The Role of Compliance

Course Demo. No credit provided in demo mode.


Credit Hours:
IL - General: 1.75 Credits
CA - General: 2.0 Credits
NY - General: 2.0 Credits
NH - General: 2.0 Credits
FL - General: 2.5 Credits
WA - General: 2.0 Credits
AZ - General: 2.0 Credits
AK - Voluntary: 2.0 Credits
PA - Distance Learning: 2.0 Credits
MO - Self Study: 2.34 Credits
CO - General: 2.34 Credits
NJ - General: 2.3 Credits
WV - General: 2.34 Credits
MS - General: 2.0 Credits
TN - General: 1.95 Credits
AL - On-Demand: 2.0 Credits
NC - General: 1.75 Credits
WI - On-Demand: 2.0 Credits
GA - Self Study: 2.0 Credits
CT - General: 2.0 Credits
UT - Self Study: 2.0 Credits

Running Time: 1 Hours, 57 Minutes
Faculty: Charles A. Christofilis, Esq. -

Course Description

In this program seasoned attorney and Chief Compliance Officer Charles A Christofilis provides attorneys with an overview of the laws and rules which govern the area of compliance, the many legal areas in which the compliance officer must operate, the "four pillars" of compliance, and numerous case examples in which inadequate compliance has resulted in major adverse consequences for companies.

He addresses how to develop. Implement and test a Compliance Program in virtually and industry, and does a deep dive into the financial services and public company space. Specifically, the roles of the SEC and other agencies, the Investment Advisers Act, the Anti-Money Laundering provisions under the Patriot Act (with numerous examples), the FCPA and the necessity of internal audits and mock examinations.

Finally, he concludes with how to manage regulatory examinations and investigations as opposed to more traditional civil or criminal litigation, and respond to compliance failures from a crises management perspective when they occur.