In addition to drawing intense public and political scrutiny, improper sales practices and the associated consumer harms continue to be the focus of enforcement authorities. Federal regulators—and government actors at the state and local levels—have recently hit improper sales practices with enforcement actions, state attorney general investigations and even newly minted city ordinances.
Join Mayer Brown lawyers Stephanie Robinson and Brantley Webb for a discussion of the latest regulatory developments and enforcement trends, potential compliance pitfalls and other risks posed by production incentives, sales goals and performance metrics. They will also discuss the key elements of an effective sales governance program, including how financial institutions can enhance conduct risk monitoring and improve controls around sales practices.
Mayer Brown’s Global Financial Markets Initiative helps clients deal with the legal and business challenges resulting from the ongoing turbulence in worldwide financial markets. By mobilizing the firm’s global resources from multiple practices and offices, the initiative provides clients with knowledgeable and timely counsel on a broad spectrum of their legal needs.
For additional information or to register, please contact GFM@mayerbrown.com.