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Washington DC Compliance

Round Table

Events

Web Event: North American Securities Administrators Association

 

Vince Martinez

General Counsel of the North American Securities Administrators Association (NASAA)

9 November 2023
04:30 pm est

Join us for a virtual meeting with Vince Martinez.

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, the U.S. Virgin Islands and Guam.

 

This event will focus on cooperation between state regulators and the SEC and trends and developments in state regulatory oversight.

WDCCRT Members can RSVP at contact@wdccrt.org by COB 11/6/23 to receive log-in information.

 

WDCCRT has grown significantly and in order to make the group beneficial to all members, it is vital we have members that help us maintain a diverse, balanced skill set.  Non-member in-house CCOs, CFOs, GCs and COOs interested in becoming members are invited to RSVP to hear about a special membership offer after the event.

Events

About WDCCRT

The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:

 

  • To educate compliance professionals in the financial and securities industries; and

  • 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

About

Sponsors

Sponsors
Past Events

Past Events

10/5/2023

Web Event: FBI Speaker
2023 Financial Crimes Overview

Richard Pires Jr

Supervisory Special Agent and the Program Manager for the Federal Bureau of Investigation at the National Intellectual Property Rights Center

8/17/2023

Webinar: SEC Enforcement Update 2023

Deborah R. Meshulam

Partner at DLA Piper

6/8/2023

Web Event: 2023 SEC Examinations Priorities

Marshall Gandy

Senior Officer and National Associate Director of the Investment Adviser and Investment Company examination program, Division of Examinations, SEC

4/20/2023

Web Event: SEC Proposal - Outsourcing by Investment Advisers

Jennifer Porter
Rulemaking Office – Investment Adviser Regulation Office Division of Investment Management, SEC

12/01/2022

Webinar: Demystifying Cyber Insurance

Gregory T. Longest

Managing Director at Marsh McLennan

10/20/2022

Web Event: SEC Enforcement Cyber Security issues

Melissa R. Hodgman

Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission

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