Kathlyn L. Farrell to Moderate Session at ABA Regulatory Compliance Conference
Date: Monday, June 15, 2015
Time: 10:45 AM - 12:00 PM; 2:30 PM - 3:45 PM
Location: Washington Marriott Wardman Park, Washington, DC
Topic: Strengthening Your Lines of Defense
Sunday, we heard how different organizations manage compliance governance. In this session, we’ll drill-down and discuss the specifics of compliance’s role as the second line, how compliance policy and governance should be divided between the first and second line and how quality control monitoring, compliance testing and monitoring can successfully be apportioned between all three lines of defense. We’ll also discuss reporting structures and responsibilities between the three lines and the key metrics involved.