Washington DC Compliance
Round Table
Events
Web Event: NFA Speaker
Jennifer Sunu
Director of Compliance, NFA
27 January 2022
04:30 pm est
Join us for a virtual meeting with Jennifer Sunu, Director of Compliance at the National Futures Association. Jennifer will discuss recent developments in cyber security, supervision, and operations in a Covid and post-Covid environment as well as recent trends in NFA enforcement actions, and best practices relating to supervision and recordkeeping.
WDCCRT Members can RSVP at contact@wdccrt.org by COB 01/25/22 to receive log-in information.
Jennifer Sunu is a Director of Compliance at NFA, where she has worked since July 1994. Ms. Sunu’s responsibilities include supervising the Compliance Department in its completion of its core functions, including examinations, investigations, and financial surveillance; overseeing the development of enforcement cases; responding to Member inquiries; and informing Members of NFA’s initiatives through Member meetings and industry conferences.
Ms. Sunu has a B.S. degree in accounting from University of Illinois at Chicago, and is a Certified Fraud Examiner.
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
WDCCRT Board
Board Director Global CCO, EJF Capital LLC
Sponsors
Past Events
12/2/2021
Webinar: Top 12 questions on the New SEC Marketing Rule
Speaker:
Christine Ayako Schleppegrell
Senior Counsel, Private Funds Branch, SEC
10/21/2021
Webinar: SEC Speaker
Speaker:
Daniel J. Goldberg
Branch Chief for the Division of Enforcement’s
Bank Secrecy Act (BSA) Review Group
09/30/2021
Webinar: SEC and FINRA Enforcement Update 2021
Speakers:
Deborah R. Meshulam
Partner, DLA Piper
Kevin Spence
Director of Compliance, TIAA
05/27/2021
SEC and CFTC perspectives on ESG for financial services companies
Speakers:
Amanda Olear
CFTC, Acting Director of the Market Participants Division &Deputy Director for Registration and Compliance.
Adam S. Aderton
SEC, Co-Chief of the SEC Enforcement Division’s Asset Management Unit
03/25/2021
Overview of the SEC Division of Examination’s National Examination Program, Selection Process, Priorities, and Best Practices
Speaker:
Marta Fischl
SEC Attorney-Adviser, Division of Examinations Chicago Regional Office’s IA/IC Group