Hyatt Regency
Hyatt Regency , 1 Grand Cypress Blvd, Orlando, FL 32836, USA

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Event Date Sun Apr 28 EDT - Wed May 1 EDT (over 2 years ago)
Location Hyatt Regency
1 Grand Cypress Blvd, Orlando, FL 32836, USA
Region Americas

Join NRS at our Spring 2019 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.

Who Attends?
Conference attendees have included:
• Chief Compliance Officers / Investment Advisers / General Counsels / Broker-Dealers
• Managing Directors / Chief Financial Officers / Regulatory Analysts / Wealth Advisors / Attorneys
• Portfolio Managers / Securities Examiners / Executive Vice President’s / Compliance Managers
• Financial Planners / Operations Managers / Traders / Financial Service Professionals


2019 Speakers

Carmine Angone
Consultant, NRS

Gabriel Ayala, IACCP®, AIF®
Managing Director and Fiduciary Compliance, Charles Schwab & Co., Inc.

Matthew Baskir
Consultant, NRS

Anne Buckley
Chief Compliance Officer, Palladium Capital Advisors, LLC

Matthew Chittle
Senior Director, Products, NRS

Mederic Daigneault
Senior Director, Consulting, NRS

Peter Driscoll
Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Matthew J. Fitzgerald
Vice President, Chief Compliance Officer, PGIM Fixed Income

Marco Fuentes
Chief Compliance Officer, J.W. COLE FINANCIAL, INC.

John Gebauer
President, NRS

Paul D. Glenn
Special Counsel, Investment Adviser Association

Heidi Heath, IACCP®
Chief Compliance Officer, MACRO Consulting Group

Richard F Kerr
Partner, K&L Gates LLP

Elizabeth M. Knoblock
Managing Member, Elizabeth M. Knoblock, PLLC

David H. Lui
Co-Editor, Modern Compliance: Best Practices for Securities & Finance

Ismael Manzanares
Senior Director, Consulting, NRS

Richard D. Marshall
Partner, Katten Muchin Rosenman LLP

Michael W. McGrath
Partner, K&L Gates LLP

Max Mejiborsky
Senior Director, Private Fund Services, NRS

Marilyn Miles
Vice President Consulting and Education, NRS

Yvette Panetta
Deputy District Director, FINRA

Robert I. Rabinowitz
Shareholder, Becker & Poliakoff

Catherine Reynolds
Director, Product Development, NRS

Brendan Roberts
Consultant, NRS

David Solander
Counsel, Goodwin Procter LLP

Robert Stirling
Executive Consultant, NRS

David G. Tittsworth
Counsel, Ropes & Gray LLP

Steven D. Trigili CAMS
Chief Compliance Officer, Garden State Securities, Inc. Garden State Investment Advisory Services, LLC

Kurt Wachholz
Executive Consultant and Director, Education, NRS

John H. Walsh
Partner, Eversheds Sutherland (US)

Noula Zaharis
Director, Securities & Charities Division, Office of the Georgia Secretary of State

Sponsors & Partners

2019 Sponsors

• Starkweather
• Broadridge
• Pratum
• Chicago Clearing
• TD Ameritade
• Becker
• Mercer