Overview (Program Summary)
This program is being co-sponsored by the Litigation Network
As more ‘every-day’ companies intersect with non-traditional finance, digital assets and AI and data-driven platforms and services, we are seeing many more clients coming to us for assessments and audits of their policies and procedures, as they increasingly discover vulnerabilities that are being exposed by a growing number of internal/external pressures, including frauds and data breaches. Join Katie Mills (Los Angeles) and Benjamin Bathgate (Toronto) for an inside look at how in-house compliance and litigation risk assessments are changing with these new pressures, and how your legal, risk and compliance departments may need to evolve to keep pace!
This external and in-house lawyer panel will review:
- How to identify High Risk Third Parties You Transact With (AML/KYC and high-risk financial service providers)
- How to Risk-Rate – the Enhanced Due Diligence Process and Proactive Risk Identification Tips
- Escalation and Managing Internal Investigation(s)
- Responding to the Crisis - Do’s and Don’t’s
Join the Conversation:
Compliance & Ethics Network Community