Please join us for the first annual Clearing Corporation Charitable Foundation Conference on financial institution compliance.
The field of financial institution compliance is entering a new era of uncertainty. What are the implications of the potential changes in the regulatory structure governing the financial markets for a firm’s compliance culture? How can banks and other intermediaries meet the new regulatory expectations? Come learn about recent trends and the upcoming challenges facing compliance professionals in this new environment.
This conference will explore these and related issues. The plenary speaker will be Judge Jed Rakoff
(S.D.N.Y.), a nationally renowned jurist, and the panel will be comprised of leading experts who come to the compliance field from a wide variety of perspectives, including the government, the finance industry, and the academy. Conference Panelists• John Walsh
, Partner, Sutherland Asbill. At the SEC, John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE) and served as the OCIE’s acting director in 2009. • Charles Senatore
, EVP for Regulatory Strategy, Fidelity Investments and global head of compliance at Fidelity. Previously Co-Head, Global Compliance at Merrill Lynch. Chaired the board of the National Society of Compliance Professionals. • Donna Nagy
, Executive Associate Dean for Academic Affairs and C. Ben Dutton Professor of Law at Indiana University Maurer School of Law. • David Glockner
, Regional Director at the SEC, Chicago, Illinois since December 2013. Worked at U.S. Attorney's Office Chief of the Criminal Division, where he served as lead prosecutor for a wide range of investigations and prosecutions, including significant financial institution fraud, securities fraud, and public corruption.
This event is free and open to the public. Registration requested. RSVP online.