Dialogue With Area Regulators Ben A. Indek Moderator Morgan Lewis - - PowerPoint PPT Presentation

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Dialogue With Area Regulators Ben A. Indek Moderator Morgan Lewis - - PowerPoint PPT Presentation

Jan 29, 2023 264 likes •384 views

National Society of Compliance Professionals, Inc. East Coast Regional Membership Meeting New York, NY June 7, 2010 Dialogue With Area Regulators Ben A. Indek Moderator Morgan Lewis & Bockius LLP Norm Champ Securities and Exchange

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SLIDE 1

Dialogue With Area Regulators

Ben A. Indek

Moderator Morgan Lewis & Bockius LLP

Norm Champ

Securities and Exchange Commission

Michael Rufino

FINRA

National Society of Compliance Professionals, Inc. East Coast Regional Membership Meeting New York, NY June 7, 2010

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Agenda

  • Examinations: The Post-Madoff Era
  • Current Examination Priorities
  • Examination Findings
  • Referrals to Enforcement
  • Social Networking
  • Use of Fund Money to Pay Expenses
  • FINRA Proposal re Registration of Back-Office

Personnel

  • Audience Questions
  • Compliance Officers: Expectations and Liabilities
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Examinations: The Post-Madoff Era

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Current Examination Priorities

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Examination Findings

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Referrals to Enforcement

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Social Networking

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Use of Fund Money to Pay Expenses

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SLIDE 9

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FINRA Proposal re Registration of Back-Office Personnel

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SLIDE 10

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Audience Questions

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Compliance Officers: Expectations and Liabilities