Financial Services Part IV: Executive Compensation, Immigration, FINRA, and Internal Whistleblower Agreements and Policies

On this panel, Epstein Becker’s Financial Services strategic industry group discuss a number of topics that should be foremost in the minds of legal, compliance, and human resources professionals at financial services firms today. 

The discussions include key developments in immigration law, executive compensation, FINRA dispute resolution, and internal whistleblower policies and practices.

Learning Objectives:

I.      Grasp the changes that have occurred as the result of President Obama’s November 2014 Executive Orders on U.S. immigration policy, what changes may still be in the pipeline, and what employers can do to address some of the obstacles they will face until these changes occur 

II.     Understand which issues in the field of executive compensation are of foremost importance for financial services employers today

III.    Recognize FINRA dispute resolution rule changes that can impact how employers defend arbitrations at FINRA

IV.    Identify and respond to potential exposure in the area of Dodd-Frank whistleblower compliance as the result of heightened SEC scrutiny of employment agreements, standards of conduct and confidentiality policies