Join Your Compliance and Ethics Colleagues from Large Banks and Financial Services Companies

The State of Policy Governance and

Conflicts of Interest / Conduct Management in Financial Services

Please join us for this executive roundtable event that will bring together leaders from some of the nation’s largest banks and financial services firms to discuss, face-to-face, their challenges, opportunities and best practices in employee conduct management and policy governance. The event will be facilitated by Michael Rasmussen, an internationally recognized pundit on governance, risk management and compliance (GRC).

  • Debrief on the current state of Code of Conduct / Ethics and Policy Governance in large banks and financial services firms.
  • Roundtable discussion of key challenges, industry trends and operational best practices.
  • Social hour – Hors d'oeuvres and a “Wines of the World” wine tasting led by an expert sommelier.

  • Chief Compliance Officers
  • Chief Risk Officers
  • Chief Ethics Officers
  • Senior Leaders in Compliance, Risk, Ethics, Governance

There is no fee to attend this event. However, space is very limited. Reserve your seat today.

Thursday, September 19
3:00 PM - 6:00 PM EDT

Davio's New York City
447 Lexington Avenue
2nd Floor, Arlington Room