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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.

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

03/21/2024

Web Event: SEC Division of Enforcement Tips Complaints and Referrals overview

Jennifer M. Carr

Branch Chief, SEC Enforcement Division’s Office of Market Intelligence

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

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