Symposium on Financial Firms Compliance

Brooklyn Law School’s Center for the Study of Business Law and Regulation and the Brooklyn Journal of Corporate, Financial and Commercial Law are sponsoring a symposium on Friday, February 8 on The Growth and Importance of Compliance in Financial Firms: Meaning and Implications.  Attendees must RSVP by Wedesday, February 6. The agenda, available here, includes Opening Remarks by BLS Professor James Fanto who will also be a Panelist along with BLS Professors James Park, Roberta Karmel and Miriam Baer serving as Moderators. They will participate with other academics, practitioners and regulators in securities law. The description of the symposium, which will take place 9:00 am to 3:30 pm at the Subotnick Center, Brooklyn Law School, 250 Joralemon Street, Brooklyn, NY, reads:

Over the past decade, the compliance function in financial firms, in particular broker-dealers and investment advisers, has grown in size and importance. While this phenomenon is an integral part of life for compliance officers and legal practitioners who advise these firms, compliance has received relatively little attention from legal scholars. This symposium will provide the opportunity for financial and securities law scholars to evaluate and criticize, from their respective theoretical perspectives, the growing importance of compliance in financial firms, as well as comment upon particular compliance duties and issues. The conference includes noted legal practitioners, compliance specialists and regulators, who can assist the scholars in their reflection and offer their own perspectives and insights on the compliance phenomenon.

The BLS Library recently added to its collection For Whom the Whistle Blows: Advancing Corporate Compliance and Integrity Efforts in the Era of Dodd-Frank (Call # KF1422.A75 F67 2011) by Michael D. Greenberg. The 62 page item is a conference report on a May 2011 RAND a symposium on he implications of the proposed rules, the role of internal compliance and reporting processes, and steps to strengthen these processes in the era of Dodd-Frank.