Duties and Responsibilities of Compliance Officers

 

Webinar – Duties and Responsibilities of Compliance Officers

Thursday May 28, 2015
2:00 - 3:15 p.m. (ET)

Topics Covered

The responsibility of compliance officers, especially CCOs, has increased significantly in the past few years. The purpose of this webinar is to make compliance officers aware of the various types of compliance issues they face and to help them avoid potential pitfalls.

Panelists will explore:

  • The duties and responsibilities of compliance officers in the current regulatory landscape
  • Whether the rise in the number of CCOs being named in recent SEC enforcement cases signals a change in the responsibility of compliance officers
  • Perspectives on what CCO liability really means in practice
  • Issues that can arise when compliance officers take on additional or non-compliance related responsibilities

Presenters

  • Sanjay Lamba, Assistant General Counsel, IAA (Moderator)
  • Deborah A. Hammalian, Senior Vice President and Chief Compliance Officer, Voya Investment Management
  • Robert E. Plaze, Partner, Stroock & Stroock & Lavan LLP

Register Today

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475
*Per computer login
Registration closes on Tuesday, May 26 at 5:00 p.m.

 

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Deborah A. Hammalian is Senior Vice President and Chief Compliance Officer for Voya Investment Management. Prior to joining the firm in 2013, she was the Chief Compliance Officer and Deputy Chief Risk Officer for Allianz Global Investors U.S., responsible for the management of the firm’s compliance program and implementation of the firm’s risk management strategy. Earlier in her career, Deborah served as Assistant Secretary and Treasurer of the Nicholas-Applegate Institutional Funds and prior thereto, supported the corporate governance and compliance program for Pacific Mutual’s variable life and annuity offerings. She earned a B.A. from National University, an MBA from the UCLA Anderson School of Management and holds FINRA Series 63, Series 65, Series 6, Series 7 and Series 24 licenses.

Robert E. Plaze is a partner with the Washington office of Stroock & Stroock & Lavan LLP. He represents investment advisers, mutual funds and other types of registered investment companies (and their independent board members), as well as industry service providers. Before joining Stroock, Bob served as Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. There, Bob was responsible for policy development and management of many key regulatory initiatives affecting investment companies and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He received his A.B. and J.D. from Georgetown University.

Sanjay Lamba is Assistant Counsel at the Investment Adviser Association. Prior to joining the IAA in 2013, Sanjay worked at the SEC for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations. Prior to the SEC, Sanjay was an associate in the investment management practice groups at Morrison & Foerster LLP and Dechert LLP. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University. He is a member of the bar in the Commonwealth of Virginia and the District of Columbia.

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Tuesday, May 26, 2015. There are no refunds for cancellations received after this date. Email your requests to