Washington DC Compliance

Round Table

Events

Web Event:

Join us for a rare NFA panel of speakers:

Dan Driscoll, Special Policy Advisor at National Futures Association

Regina Thoele, Senior Vice President, Compliance, National Futures Association

Christine Roche, Director, Compliance Department, National Futures Association

17 September 2020
04:30 pm

Our discussion will focus on the best industry practices during COVID, new regulatory developments including succession planning, intra-agency regulatory initiatives as well as most recent industry trends and ways to strengthen your legal and compliance programs.

 

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

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Past Events

April 16, 2020

Key interplays between State and Federal Securities laws; State Securities Administrators' work with Federal regulators and Self-Regulatory organizations

Speaker: Vince Martinez, General Counsel of the North American Securities Administrators Association (NASAA)

January 23, 2020

CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors​

​Speaker: Amanda Olearr, Acting Deputy Director, CFTC

September 12, 2019

CFTC Enforcement Update: Developments & Trends

Speaker: Rick Glaser, Deputy Director in the Division of Enforcement of the CFTC

May 09, 2019

SEC Senior Investors Regulatory Overview ​

Speaker: Stephen Deane CFA Engagement Advisor, Office of the Investor Advocate, SEC

March 07, 2019

FINRA 2019 Regulatory Priorities ​

Speaker: Steven Polansky Senior Director, Office of Shared Services, FINRA

January 17, 2019

FBI and Cyber Security

Speaker: Matthew J. DeSarno, Special Agent in Charge, FBI

September 06, 2018

SEC Enforcement Trends in Tips Complaints and Referrals (TCR)

Speaker: Jennifer M. Carr, Attorney, SEC Division of Enforcement

April 26, 2018

Consolidated Audit Trail Discussion

Speaker: Elizabeth King, General Counsel, NYSE

January 18, 2018

Regulatory Priorities 2018

Speaker: Dan Driscoll, Executive Vice President and Chief Compliance Officer at National Futures Association (NFA)

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Contact

 

Meeting Location:

1050 Connecticut Ave NW, Ste 1070

Washington, D.C. 20036

Mailing Address:

11654 Plaza America Drive, Ste 260

Reston, VA 20190

Phone 703.988.6858

© 2020 by WDCCRT.ORG