The Shidler College of Business presents the Banking Lecture Series starting with its first lecture on “Banking Regulation and Compliance” on April 4. The series is led by Gary Tidwell, senior advisor in education, training and regulatory capacity building at the International Organization of Securities Commissions.
The series will provide an overview of the global capital markets with an emphasis on the regulatory/legal oversight of the markets. The lecture will examine recent national and international litigated banking cases using court documents.
Topics include: the current state of compliance in financial service; criminal liability; banking criminal liability for actions of the employees and controlling persons liability; handling retail customer disputes; and regulatory inquiries, conducting internal investigations and the future of compliance.
Event details
- Date: Every Tuesday and Thursday, April 4–20
- Time: 4:30–6 p.m.
- Location: UH Mānoa Shidler College of Business, room C-101
- Cost: Free and open to UH students, alumni and the general public
For questions, contact Professor Jiakai Chen at (808) 956-7610, or Professor Rosita Chang at (808) 956-7592.
