Should a publicly-traded company be required to have a chief compliance officer in the post-Enron environment? Henry Carter will also discuss issues related to ethics in the corporate environment with a focus on marketing.Tuesday, March 19, 2002
12:30 - 1:30 p.m.
Room 80 (Moot Courtroom)
Stanford Law School
All welcome. Lunch will be provided.
Henry W. Carter was the former Chief Compliance Officer for E*TRADE Securities, Inc., one of the fastest-growing internet broker-dealers in the world. First as outside counsel, then as chief compliance officer and finally as assistant general counsel for the parent company, Mr. Carter witnessed the rapid expansion of account growth in the domestic and international markets, reviewed all communications with the public, participated in ground-breaking legal developments with lawmakers and regulators including online suitability and electronic signatures, and was the chief ethics officer for a company that was on the cutting edge in the financial services industry.
Questions? Contact Carinne Johnson at Carinne.Johnson at stanford.edu or 650-725-2565.