Compliance Conference to Provide Valuable Regulatory Insights

Jun 02, 2015, 16:14 ET from Regulatory Compliance

BOSTON, June 2, 2015 /PRNewswire/ -- The regulatory climate continues to change and securities firms are experiencing more risk-based scrutiny from regulators requiring firms to foster a new understanding of compliance.  Regulatory Compliance has opened registration for is national compliance conference September 24-26 hosted at Boca Raton Resort & Club in Boca Raton, Florida. Keynote speaker Larry McDonald, noted author, and economist will discuss his insights on the collapse of Lehman Brothers and its continued impacts upon today's regulatory environment and will share his industry perspectives with conference attendees. 

The conference is designed to provide broker-dealers and investment adviser firms with insight from regulators and industry experts on how they determine which areas of a firm's business pose the biggest risk to the investing public. They will discuss how to create a culture of compliance to avoid these risks.

Conference attendees can choose from many interactive sessions exploring topics such as new regulations, managing growth, cybersecurity, protecting investors, best execution, examinations and testing, conflicts of interest, compliance planning, advertising best practices, social media advancements, CCO liability, enforcement action reviews, AML, compliance performance evaluations and much more. Attendees can also attend workshops to gain practical strategies for building and implementing a risk-based compliance culture. Session presenters include a wide range of securities industry compliance specialists, including current and former regulators.  Some confirmed speakers include Jeffrey Pasquerella of FINRA, John Walsh of Sutherland Asbill & Brennan, LLP –, as well as David Sobel EVP, GC, and CCO with Abel/Noser Corp.  Helen Sharkey will also be presenting her story about her challenges as a CCO and delivers a message of hope as she describes her efforts to avoid being branded a felon.  

"After last year's tremendously successful national conference, this year's will similarly give attendees the opportunity to hear from industry experts and network with their peers to learn about compliance best practices," says Stephen Sussman, CEO of Regulatory Compliance. "The compliance knowledge gained helps firms make changes needed to avoid fines and potential suspension if regulators find compliance irregularities."

Conference attendees will have opportunities to meet with conference sponsors to learn about the latest compliance tools that help firms more easily manage their compliance responsibilities. Returning sponsors include Charles Schwab, Demarco Sciaccotta Wilkens & Dunleavy, NAPLIA, and INTL FCStone to name a few.

Early-bird registration runs through June 30.  For more information on the conference, sessions and registration, visit

Media contact: Sarah Vaira, 1-603-216-8919,

SOURCE Regulatory Compliance