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:

 

  • 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

 
 

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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

Contact

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