|Event:||Cross Border Regulatory and Compliance Issues Facing Multi-National Financial Institutions|
Jerry Citera, Managing Director and Associate General Counsel in the Legal Department at JP Morgan Securities
They Heyman Center* presents a lunch talk with Jerry Citera, Managing Director and Associate General Counsel in the Legal Department at JP Morgan Securities.
Large multi-national financial institutions compete in an increasingly global financial marketplace. Yet, the financial markets continue to be governed and regulated on a country by country basis. This raises significant legal, regulatory and compliance issues for the firms that attempt to provide seamless cross border financial services to their clients. Mr. Citera will discuss these issues focusing particularly on compliance related questions. The presentation will specifically address SEC Rule 15a-6, EU passporting regulations, and similar regulation in other foreign jurisdictions that attempt to provide a regulatory framework for resolving these issues in the securities markets.
*This event is part of the Compliance Speaker Series and will qualify towards the Compliance Concentration requirement.
This event is open only to the Cardozo community. Registration is required. Lunch will be provided.