Regulatory bodies are facing more pressure to enforce regulatory and criminal laws. Regulatory investigations can have a devastating impact upon a corporation, its officers, directors, employees and shareholders. Companies of virtually all types must keep a vigilant eye on both detecting regulatory issues and effectively responding to regulatory investigations. This seminar will focus on these issues so that you are prepared before the regulators arrive. Topics that will be discussed at the seminar include:
- How to detect regulatory issues before the regulators do;
- Inspections v. Investigations: what’s the difference and why it matters;
- Understanding your obligations when a regulator arrives;
- Best practices for preparing for and responding to regulators while on-site; and
- How to preserve privilege
- 8:00 am - 8:30 am Registration & Breakfast
- 8:30 am - 10:00 am Presentation and Q&A
Note: The hours from this non-accredited seminar may be applied towards the 9 Substantive Hours of annual Continuing Professional Development (CPD) required by the Law Society of Upper Canada for Ongoing Members. Please note that this seminar is not accredited for Professionalism Hours and cannot be counted for New Members or for Professionalism Hours for Ongoing Members.
This event has passed - registration is closed.