New Wolters Kluwer Webinar Addresses Chief Compliance and Legal Officer Liability
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  • New Wolters Kluwer Webinar Addresses Chief Compliance and Legal Officer Liability

    May 16, 2016

    Webinar offers effective ways to reduce exposure to risk

    Today, more chief compliance and legal officers are being held liable by the U.S. Securities and Exchange Commission for the failure to identify and correct fraud within their area of responsibility. As the SEC continues to enforce supervisory liability, what can compliance and legal professionals do to avoid the types of actions and activities that may result in personal liability?

    To address this issue, Wolters Kluwer today announced that leading industry expert, David Thetford, principal analyst of Securities Compliance at Wolters Kluwer, will moderate a webinar to provide insight into this growing issue and offer effective ways to avoid unnecessary liability risk.

    The webinar, “CCO Liability: Effective Ways to Reduce Your Exposure” is being held Tuesday, May 24 at 2:00 p.m. EDT. Thetford will moderate a panel of industry leaders that includes John Walsh, partner at Sutherland, Asbill & Brennan; and J. Christopher Jackson, senior vice president and general counsel, Calamos Investments. During the webinar, panelists will offer practical guidance on how to operate in a world of risk control and mitigation.

    “Recently, chief compliance and legal officers have increasingly become the target of regulatory action for failure to implement or adequately monitor their organizations’ compliance programs,” noted Thetford. “This webinar will help those compliance and legal professionals gain greater insight into the SEC’s latest enforcement actions and learn what they can do to protect themselves from significant risk.”

    Thetford is a former examiner for the National Association of Securities Dealers, now known as FINRA. He has also served as a compliance manager for two large securities brokerages and is a former chief compliance officer. In his role at Wolters Kluwer, Thetford brings his retail compliance background to aid in the development of new content and technology that enables clients to meet regulatory requirements.

    To register for the webinar, please visit our website.

    About Wolters Kluwer Governance, Risk & Compliance

    Wolters Kluwer Governance, Risk & Compliance (GRC) is a division of Wolters Kluwer which provides legal, finance, risk and compliance professionals and small business owners with a broad spectrum of solutions, services and expertise needed to help manage myriad governance, risk and compliance needs in dynamic markets and regulatory environments. The division’s prominent brands include: AppOne®, AuthenticWeb™, Bankers Systems®, BizFilings®, Capital Changes, CASH Suite™, CT Corporation, CT Lien Solutions, Corsearch, TyMetrix® 360, Passport®, LegalVIEW®, GainsKeeper®, OneSumX®, Uniform Forms™, VMP® Mortgage Solutions and Wiz®.

    Wolters Kluwer N.V. (AEX: WKL) is a global leader in information services and solutions for professionals in the health, tax and accounting, risk and compliance, finance and legal sectors. Wolters Kluwer reported 2015 annual revenues of €4.2 billion. The company, headquartered in Alphen aan den Rijn, the Netherlands, serves customers in over 180 countries, maintains operations in over 40 countries and employs 19,000 people worldwide.