Washington DC Compliance

Round Table

Events

Web Event: SEC Speaker

Daniel J. Goldberg

Branch Chief for the Division of Enforcement’s

Bank Secrecy Act (BSA) Review Group

Daniel J Goldberg.jpg
21 october 2021
04:30 pm est

Join us for a virtual meeting with Daniel J. Goldberg, Branch Chief for the SEC’s Division of Enforcement’s Bank Secrecy Act (BSA) Review Group.

 

Daniel will provide an overview of recent AML regulatory developments including an overview of the SEC’s Bank Secrecy Act Group, which focuses on Suspicious Activity Report (SAR) review and analysis, BSA confidentiality requirements, and other anti-money laundering policy issues.

 

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

 
 

Sponsors

 
 

Past Events

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

01/14/2021

The New SEC Marketing Rule

Speaker:

Christine Ayako Schleppegrell

SEC Senior Counsel, Private Funds Branch

09/17/2020

NFA Panel event

Speakers:

Dan Driscoll

Executive Vice President and Chief Compliance Officer

Regina G. Thoele

CFE, Senior Vice President, Compliance

Christine Roche

Director of Compliance

Contact

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