Please join Sidley, ACA Group, and the Association of Registration Management (ARM) for a seminar geared towards in-house counsel and compliance officers on current broker-dealer regulatory issues.
The roundtable will feature discussions with speakers from ACA, Sidley, ARM, and other key industry leaders covering FINRA Credentialing, Registration, Education, and Disclosure (CRED) Outreach, Compliance and Sales Practice, and Financial Responsibility and Operations.
Our conversation with ARM Board Members will include updates and an interactive discussion about:
- Residential Supervisory Locations (RSL)
- Disclosure best practices
- FIND
- WebEFT sunset and new opportunities enabled by FINRA APIs
Click here for full agenda.
SPEAKERS
- Anne Campbell, Managing Director – Legal, Tax and Compliance, Apollo Global Management, Inc.
- Francine Casale, ARM Board Member and Director, Head of Registrations, Mizuho
- Francois Cooke, Managing Director, Broker-Dealer Compliance Consulting, ACA Group
- Aleksandra Drozen, Chief Compliance Officer, Mirae Asset Securities
- David Katz, Partner, Securities Enforcement and Regulatory, Sidley
- Elizabeth Marino, Partner, Securities Enforcement and Regulatory, Sidley
- Eileen O'Connell Arcuri, ARM Board Member and Director, Head of Employee Compliance, Charles Schwab & Co., Inc.
- Joel Potenciano, Senior Vice President | Finance – Head of US Regulatory Controllers, Jefferies
- Jeff Puente, Executive Director – Co-Head of Americas Operations and Finance Compliance, Morgan Stanley
- Simona Suh, Counsel, Securities Enforcement and Regulatory, Sidley
- Roseann Viscardi, ARM Board Member and Vice President, Central Compliance and Registrations, PJT Partners
- Brian Woldrow, Chief Compliance Officer, Betterment
SCHEDULE
Registration and Breakfast | 8:30 a.m. ET
Program | 9:00 a.m. - 12:00 p.m. ET
QUESTIONS
If you would like to ask a question anonymously, please email nyevents@sidley.com prior to the program and it will be presented during the roundtable.
The New York City Broker-Dealer Compliance Fall Roundtable on Tuesday, September 24, 2024 is approved for credit in the following jurisdictions:
CA - 1.0 General Credit
IL - 1.0 General Credit
NY - 1.0 Professional Practice Credit (non-transitional/appropriate for experienced attorneys only)
FL, TX & VA - Applied Upon Request
