National Compliance Outreach Program for Broker-...

Venue

Federal Reserve Bank of Chicago 230 S LaSalle

Federal Reserve Bank of Chicago 230 S LaSalle , 230 S LaSalle St, Chicago, IL 60604, USA

What is Qwoted?

Qwoted is a free expert network: we help reporters connect with experts & we help those same experts build relationships with top reporters.

Learn more

Event Date	Thu Jun 27 -05 (over 5 years ago)
Location	Federal Reserve Bank of Chicago 230 S LaSalle 230 S LaSalle St, Chicago, IL 60604, USA
Region	Americas

Details

The 2019 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices. The program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure. The program is sponsored by the SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).

The program focuses on insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets, cybersecurity, and anti-money laundering.

Speakers

2019 Speakers

MODERATOR:

Peter Driscoll
Director, Office of Compliance Inspections and Examinations, SEC

Daniel R. Gregus
Associate Director, Clearance and Settlement Program and Broker-Dealer and Exchange Program, Chicago Regional Office, SEC

Thomas Nelli
Senior Vice President and Regional Director, Sales Practice, FINRA

SPEAKERS:

The Honorable Hester M. Peirce
Commissioner, SEC

Joel R. Levin
Regional Director, Chicago Regional Office, SEC

John Polise
Associate Director, Broker-Dealer and Exchange Program, Office of Compliance Inspections and Examinations, SEC

Ed Wegener
Senior Vice President and Midwest Regional Director, FINRA

Laura Trotz
District Director, Chicago District Office, FINRA

Ahmed Abonamah
Deputy Director, Office of Municipal Securities, SEC

Kelly Shoop
Special Counsel, Sales Practices, Division of Trading and Markets, SEC

Jeffry F. Freiburger
Managing Director and Chief Compliance Officer, Robert W. Baird & Co.

Joseph Romano
President, Romano Wealth Management

Valerie Szczepanik
Associate Director, Division of Corporation Finance, SEC

Amy Davine Kim
Chief Policy Officer, Chamber of Digital Commerce

Shamoil T. Shipchandler
Partner, Jones Day

Andy Zolper
Chief Information Security Officer and Head of Technology Infrastructure, Raymond James Financial