CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options

Tuesday, February 21, 2017 :: 11am - 12:00 pm EST

The National Society of Compliance Professionals is pleased to host this webinar on “CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options” sponsored by SEC Compliance Consultants.

In this webinar, panelists will discuss indemnifications and insurance as potential remedies to address the direct financial risks to a CCO.  Attendees will learn:

  • What terms and conditions should Chief Compliance Officers be aware of with respect to insurance policies and riders?
  • Are CCOs still covered once they leave a firm?
  • What factors may a board wish to consider in connection with approving or renewing a D&O/E&O insurance policy?
  • What are the protections/defenses in place for fund directors?Are CCOs afforded the same protections? Also, is outside counsel ever subject to potential liability?
  • Are Fund Directors ever found personally liable or are they covered by fund assets and/or D&O/E&O insurance policies?
  • What is the biggest misconception about cyber insurance?

Panelists include:
Janaya Moscony, President of SEC Compliance Consultants
Andrew Fotopoulos, President of Starkweather & Shepley Insurance Corp. of MA
Stephen Cohen, Partner at Dechert
Michael Brice, Co-Founder of BW Cyber Services

NSCP Archived Webinars

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Login to view our archived webinars for 2017

  • Managing Regulatory Relationships – Playing by the Regulator’s Rulebook
  • SEC Rule 17-h Risk Assessment and Recordkeeping Requirement

Login to view our archived webinars for 2016

  • Trade Compliance Through the Lifecycle of a Trade
  • Last Chance: Impact of ERISA Fiduciary Regulation
  • MCDC Disclosure Obligations
  • Simplifying Regulatory Change Management by Leveraging Integrated Content and Technology
  • FinCEN’s Proposed AML Rule: Implications for Investment Advisers to Private Funds
  • Final Look at DOL Fiduciary Proposal – A Game Changer
  • Blind Spots in Operational Risk Webinar
  • Who Is the New Twenty-first-Century CCO? Current Issues in CCO Liability
  • Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision Liability
  • Creating and Executing Effective, Customized Branch Examinations
  • The DOL Rule: What You Need to Know Now
  • Cybersecurity – Vendor Due Diligence
  • 5 Things Every Compliance Officer Should Know About Trade-Based Money Laundering Risks
  • CyberSecurity Risk Management Process – Evaluating Risks and Strengthening Governance

Login to view our archived webinars for 2015

  • Compliance Technology – Beyond the Hype – How to Reduce Risk & Gain Efficiency
  • CyberSecurity Risk Assessment for Investment Professionals
  • DOL Proposal on ERISA Fiduciary Status for Investment Advisers
  • How to Successfully Navigate State Investment Adviser Regulations
  • SEC Examination Priorities for Private Equity Firms – Fees and Expenses, Parts 1 and 2
  • Managing Investment Compliance: Best Practices in an Evolving Environment

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