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

Production Date: June 22, 2015 Practice Areas: Labor & Employment Law Estimated Length: 7413 minutes


$ 99 Labor & Employment Law In Stock

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

Della S.
Coto de Caza, CA

Great presentation! Engaging and knowledgeable presenters. I felt the content was very helpful in understanding this area of law. Thank you!

John K.
Glenview, LB

Invaluable issues overview

Rodney S.
Staten Island, NY


Jane C.
Grand Prairie, TX

The material was complex and probably not enough time allotted to really cover it as thoroughly as I would have liked

Gary C.
Hilton Head Island, SC

real well done

John B.
Sugar Land, TX

I viewed Part IV first and it was very good. I am going to do the other 3 parts.

andy a.
Hendersonville, TN

Great Course

Steven P.
Pinehurst, NC

Nice overview of more hot topics

Richard K.
New York, NY

Very informative.

Peter B.
Highland Park, IL

Excellent introductory material to these topics

Michael T T.
Calumet City, IL

found to be helpful

Marie C.
Charlotte, NC

Today's presentation was very well done. I would recommend all parts of this Financial Services series.