Shidler Banking Lecture Series

April 11, 4:30pm - 6:00pm
Mānoa Campus, Shidler College of Business, Room C-101 Add to Calendar

The Shidler Banking Lecture Series on Banking Regulation and Compliance provides an overview of the global capital markets with an emphasis on the regulatory/legal oversight of the markets.

Some of the most recently litigated national and international banking cases will be examined by using court documents to critique and to learn from the actions and inactions of various market professionals and participants. Issues examined will include money laundering, bank and individual criminal liability, securities fraud, and insider trading. Resolving customer disputes and the use of arbitration and mediation will also be discussed.

  • April 4 - Introduction to Regulation Compliance and the Regulatory Landscape
  • April 6 - The Current State of Compliance in Financial Service
  • April 11 - Criminal Liability
  • April 13 - Bank Criminal Liability for Actions of the Employees and Controlling Persons Liability
  • April 18 - Handling Retail Customer Disputes
  • April 20 - Regulatory Inquiries, Conducting Internal Investigations & The Future of Compliance

Ticket Information
Free and open to the public

Event Sponsor
Shidler College of Business, Mānoa Campus

More Information
Rosita Chang, (808) 956-7592,, View Lecture Dates and Topics (PDF)

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