Doug Cornelius on compliance for private equity real estate
These are my notes from the NRS Fall Compliance Conference. Dorothy (Dot) C. Kelly, Director, Training & Outreach for the Professional Conduct Program, CFA Institute Wendy L. Pirie, Director, Curriculum Projects, CFA Institute Robert Stirling, Senior Consultant, Investment Adviser Services, NRS According to the 2013 Edelman Trust Barometer, the Financial Services industry is the least … Read more »
These are my notes from the NRS Fall Compliance Conference. Robert B. Hirth, Chairman, Committee of Sponsoring Organizations of the Treadway Commission Fred Shane, Chief Risk Officer, Commonwealth Financial Network Should CCOs be Taking on the Additional Role of a Chief Risk Officer? It Depends, of Course • Compliance requirements, degree of regulation, risk • … Read more »
These are my notes from the NRS Fall Compliance Conference. Ted Kobus, Baker Hostetler Karen M. Aavik, First Niagara Financial Group Tammy Eisenberg, CLS Bank International In 2012 the average cost of a data breach was $5.4 million. IBM 2014 Cost of Data Breach Study More breaches happen from lost laptops and media than third-party … Read more »
These are my notes from the NRS Fall Compliance Conference. Who better to talk about supervision than Ted Urban himself. He was the general counsel and chief compliance officer. One of the firm’s registered representatives went rogue. He and other line supervisors were charged by the SEC for failure to supervise. Urban pushed for the … Read more »
These are my notes from the NRS Fall Compliance Conference. John Walsh, Sutherland Karol Pollock, SEC Deputy Associate Regional Director (Exams) Karol outlined the examination process. 1. You get a phone call. But prior to the phone call, the examiners will have done some background research, looking at the firms ADV, public website and an … Read more »
These are my notes from the NRS Fall Compliance Conference Lance Burkett, District Director for FINRA Michelle Wein Layne, Regional Director for the SEC Andrew Hartnett, Securities Commissioner in Missouri and representing NASAA Each panel member went through list of enforcement and risk priorities that are currently high on their organization’s list. NASAA Broker Dealer … Read more »