Full Video- Legal Risk Management Forum

In The News
November 21, 2017

This page features video footage from our September 14, 2017 conference on legal and regulatory risk management:


Sophisticated enterprises encounter an ever-increasing and constantly changing spectrum of risks as they expand their lines of business, enter new geographic markets and grow by acquisitions. Failing to comply with anti-corruption, anti-money laundering, cybersecurity, data privacy, and several other pertinent laws and regulations can often lead to both financial and reputational loss. With the right risk management framework in place, including the proper technologies, models, workflows and processes, together with quantitative and qualitative analyses, comprehensive risk mitigation is attainable.


This half-day forum, hosted by the Financial Times and Ropes & Gray on September 14, 2017, brought together risk management professionals from many sectors, including asset and investment management, private equity, life sciences, health care, and technology. The discussions covered risks facing their organizations, how responsibility for managing risks is shared across an organization, and risk mitigation best practices, among other critical topics.



The Compliance Challenge: Managing Legal and Regulatory Risk

This video features Ropes & Gray government enforcement partner Ryan Rohlfsen.

Ropes & Gray, together with FT Remark, conducted a survey of 300 senior-level executives at corporations across many industries, including banking, asset management, private equity, life sciences, healthcare and technology. The results reveal varying degrees of legal and regulatory readiness across individual organizations, industries and jurisdictions, as well as marked inconsistencies in approach.

In this video, Ryan Rohlfsen, a Ropes & Gray government enforcement partner, highlights key findings from the report.

To download the report, please visit our dedicated webpage.

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Developing an Effective Risk Management Framework

This video features Cindy Michel, the Chief Compliance Officer of Apollo Global Management; Anne Nielsen, the former Chief Compliance and Ethics Officer of Bristol-Myers Squibb; Korin Neff, the Chief Compliance Officer of Wyndham Worldwide Corporation; Ruchit Patel, an antitrust partner at Ropes & Gray; and Kara Scannell (moderator), the former US Senior Finance Correspondent at Financial Times.

Having identified the legal and regulatory risks they face, companies need to develop an effective risk management framework. This framework should include the latest technologies, comprehensive models and processes, and of course the right people, for managing risk. It must also include protocols for shareholder communication to ensure they are given sufficient information on the risks the company faces.

In this video, our panel answers:

  • What constitutes an effective risk management framework?
  • What risk management models and tools are available to companies to help them comply with all relevant laws, regulations, industry codes and internal principles.
  • What innovations are taking place in risk management, in terms of its organization, technology, training and financing?
  • How much information should shareholders be given about the risks the company faces and how it manages them?  

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The Decentralization of Risk Management

This video features Robert Johnston, the Head of Anti-Corruption and Anti-Money Laundering Program at Oz Management; Glenn Leon, the Deputy General Counsel and Chief Ethics & Compliance Officer at Hewlett Packard Enterprise; and Kara Scannell (moderator), the former US Senior Finance Correspondent at Financial Times

In some organizations, a chief risk officer has assumed an important place, reporting directly to the chief executive officer. Increasingly, however, in the modern multinational corporation, risk is decentralized across operations, with risk management responsibilities delegated to a general counsel, chief compliance officer, chief information officer, chief information security officer and other executives.

In this video, our panel answers:

  • How and why is risk delegated across operations?
  • How do you decide how much day-to-day risk can be managed at a national or regional level, and what must remain under direct global control?
  • How does the organization ensure that this delegation of duties works effectively and does not expose the company to increased risk?
  • To what extent can risk management be outsourced to an external adviser, such as a law firm or consultancy?  And who manages the outside adviser?
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