Richards Kibbe & Orbe partners Lee Richards and Michael Mann spoke at the 2016 SIFMA Compliance & Legal Society Annual Seminar, March 13-16, 2016, in Orlando Florida.
Mr. Richards spoke as part of a panel titled "Culture, Values, Ethics - and Regulatory Expectations." Topics included how firms can establish, promote and enforce a culture of values and stem the tide of outrage against the industry; the proper role of legal and compliance personnel; and how to assess and measure the culture of a corporation from top to bottom.
Mr. Mann spoke as part of a panel titled "International Regulation." He covered such topics as MiFID II, EMIR and the EU markets; Asia-Pacific developments; applying rules to cross-border businesses; regulations with cross-border effects; and expectations of legal, compliance and control functions in different jurisdictions.