- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
Lisa Roth, president and chief compliance officer of Keystone Capital Corporation, a broker-dealer headquartered in San Diego, and chair of the Member Advocacy Committee of the National Association of Independent Broker Dealers. Lisa previously was EVP/ managing director of National Regulatory Services, a regulatory compliance and technology company.
Maureen Young, a partner in the San Francisco office of Bingham McCutchen whose practice’s many focus areas include corporate matters that involve financial institutions and regulatory and compliance matters, examination and enforcement issues.
Louis Dempsey, founder and president of Renaissance Regulatory Services, a Boca Raton, Florida-based consulting firm. The firm specializes in SEC and FINRA compliance exams, written supervisory procedures, internal controls, financial reporting and registration services. Louis previously was a Branch Chief with the SEC’s Southeast Regional Office, and worked with the Florida Division of Securities.
John Pinto, managing director in charge of the Washington office of Renaissance Regulatory Services. John previously worked at NASD, where he rose to the position of Executive Vice President for regulation.
E-mail retention issues continue to be on regulators’ radar screens. Witness the $700,000 fine that one firm received after not being forthcoming with some of the glitches in its system. And going hand-in-hand with properly preserving such electronic communications is the need to ensure that your firm’s practices keep customers’ personal information secure.
Get updated on regulatory requirements for e-mail retention and hear suggestions to sufficiently protect customer data in the Sept. 7 webinar
E-mail Retention and Data Security: Tips to Meet Today’s Tough Compliance Challenges, sponsored by BD Week and IA Week.
Purchase the CD of the Sept. 7th webinar and discover:
- SEC, FINRA and other rules and regulations governing the retention of electronic communications and various methods used by firms to maintain electronic communications;
- Ideas for how to assess and monitor vendor systems used for archiving and retrieving electronic communications;
- Regulatory expectations for document production in response to a request;
- Suggestions for the types of written policies and procedures you should adopt regarding e-mail surveillance;
- Encryption methodologies;
- And much more
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, E-mail Retention and Data Security: Tips to Meet Today's Tough Compliance for $195 [TA2001CD].
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