Washington DC Compliance
Round Table
Events
Web Event: SEC Division of Enforcement Tips Complaints and Referrals overview
Jennifer M. Carr
Branch Chief, SEC Enforcement Division’s Office of Market Intelligence
21 March 2024
04:30 pm est
Join us for a virtual meeting with Jennifer M. Carr
During this meeting we will be focusing on gaining a better understanding of the process associated with Tips, Complaints and Referrals. Specifically, why some of them develop into further investigations, exams, enforcement inquiries/actions or even whistleblower awards, while others don’t’ result in such actions by the Agency.
WDCCRT Members can RSVP at contact@wdccrt.org by COB 3/20/24 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.
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
11/9/2023
Web Event: North American Securities Administrators Association
Vince Martinez
General Counsel of the North American Securities Administrators Association (NASAA)
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