The Financial Services Committee provides resources and services to ACC members who serve clients in securities, insurance and other financial services businesses. Current issues of interest include case law, legislation and enforcement related to the subprime/credit crisis, plus lessons learned.
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Wednesday, July 22, 2015 at 3:00 PM ET, 7:00 PM GMT
Includes an online presentation
US Financial Industry Regulatory Authority Update: Developments Related to Personal Liability for Compliance Officers
This Legal Quick Hit will explore recent developments in regulatory enforcement that indicate increased exposure to personal liability for compliance officers. Learn about where regulators‰ attentions are currently focused, how you can protect against personal liability, and what we expect to see in this area moving forward. William B. Mack, Of Counsel, Greenberg Traurig
Wednesday, September 23, 2015 at 3:00 PM ET, 7:00 PM GMT
Recent Committee-Developed Resources
Feb 2015 Form & Policy Download pdfSponsored by Greenberg Traurig LLP
This checklist is a 2015 SEC Filing Calendar for filers with December 31 Fiscal Year End.
No More Excuses: Providers of Consumer Financial Products and Services Can No Longer Afford to Ignore Compliance Management
Jun 2014 QuickCounselSponsored by Greenberg Traurig LLP
Unless companies are content to serve as fodder for future editions of the CFPB’s Supervisory Highlights report and as the subjects of glowing CFPB press releases announcing eye-popping consumer ...
Oct 2012 QuickCounsel
This QuickCounsel will provide a brief overview of executor contracts in bankruptcy and the issues they present.