Welcome
SIFMA’s FCPA Seminar is a half-day program covering Foreign Corrupt Practices Act compliance for the securities industry. The conference will bring together the leading experts from industry and government to discuss the most recent developments and requirements in FCPA compliance.
FCPA continues to be a high priority for law enforcement both in the U.S. and around the world. Last year brought record-setting fines and sanctions. As a result, securities firms today face the possibility of enforcement actions not only in the US but in other jurisdictions as foreign governments take a tougher stand on corruption. This makes an effective anti-corruption compliance program essential for all firms.
Topics Will Include
Overview of FCPA for securities firms
Building an effective FCPA compliance program
Policies and procedures, internal controls, training, code of conduct, audit
FCPA due diligence
Conducting risk assessments, screening and documenting third party relationships
How to integrate FCPA and other regulatory compliance requirements
Recent enforcement actions
Why You Should Attend
The conference provides you with a unique opportunity to spend a half-day focused on the key FCPA compliance issues for the securities industry. You will learn from FCPA compliance specialists what you need to make your compliance program more effective.
Who Should Attend
This conference is aimed directly at brokerage industry professionals responsible for FCPA compliance. This conference will be the focal point for the leading experts to share their insights, provide guidance and address participants’ questions and concerns. This is a must for every firm.