Events
Web Event:
Vince Martinez, General Counsel of the North American Securities Administrators Association (NASAA), will discuss key interplays between state and federal securities laws, as well as how state securities administrators work with federal regulators and self-regulatory organizations
16 April 2020
04:30 pm
Vince Martinez is the General Counsel of the North American Securities Administrators Association (NASAA). NASAA is the oldest international organization devoted to investor protection, and its membership consists of the securities administrators in the 50 states, the District of Columbia, Canada, Mexico, Puerto Rico, and the U.S. Virgin Islands. Immediately prior to joining NASAA, Mr. Martinez was a partner in the Washington, DC office of K&L Gates LLP, where he worked in the firm's investigations, enforcement and white collar practice group. Before joining K&L Gates, Mr. Martinez worked in the Securities and Exchange Commission's Division of Enforcement for almost twelve years, where he brought numerous antifraud actions against corporations and individuals. He also helped to establish and later became the Chief of the Division of Enforcement's Office of Market Intelligence (OMI). Before serving as the Chief of OMI, Mr. Martinez established the Commodity Futures Trading Commission's Whistleblower Office and served as its first Director. Mr. Martinez began his career in private practice, working both as a corporate transactional attorney and a litigator in New York and Washington, DC.
About WDCCRT
The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:
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To educate compliance professionals in the financial and securities industries; and
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To facilitate networking opportunities for compliance professionals in the financial and securities industries.
The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.
For membership information please use Contact form
Sponsors
Past Events
January 23, 2020
CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors
Speaker: Amanda Olearr, Acting Deputy Director, CFTC
September 12, 2019
CFTC Enforcement Update: Developments & Trends
Speaker: Rick Glaser, Deputy Director in the Division of Enforcement of the CFTC
May 09, 2019
SEC Senior Investors Regulatory Overview
Speaker: Stephen Deane CFA Engagement Advisor, Office of the Investor Advocate, SEC
March 07, 2019
FINRA 2019 Regulatory Priorities
Speaker: Steven Polansky Senior Director, Office of Shared Services, FINRA
January 17, 2019
FBI and Cyber Security
Speaker: Matthew J. DeSarno, Special Agent in Charge, FBI
September 06, 2018
SEC Enforcement Trends in Tips Complaints and Referrals (TCR)
Speaker: Jennifer M. Carr, Attorney, SEC Division of Enforcement
April 26, 2018
Consolidated Audit Trail Discussion
Speaker: Elizabeth King, General Counsel, NYSE
January 18, 2018
Regulatory Priorities 2018
Speaker: Dan Driscoll, Executive Vice President and Chief Compliance Officer at National Futures Association (NFA)