Ethical Considerations in Financial Regulation and Enforcement for Legal and Compliance Professionals

What is the current state of financial regulation and enforcement from an Ethics perspective for Legal and Compliance Professionals? Mr. Lennon, a Litigator, Forensic Accountant, and Financial Regulation Consultant with over twenty years of experience in cases involving complex ethical and financial issues, will explore the historical backdrop of regulatory change with an emphasis on recent high-profile enforcement matters. This lecture will explore the essentials of regulatory and enforcement matters with an emphasis on ethical considerations for legal and compliance professionals.

 
Learning Objectives:

1. Review the historical backdrop behind the current state of financial regulation and enforcement, from an ethical perspective

2. List the essential elements of regulatory enforcement actions in the current environment and their ethical implications

3. Discuss the importance of relevant ethical considerations under different circumstances