Speaking Engagements
Both SEC3 and CCO3 are active in the Financial Community and participates in several Industry Events, Roundtables & Conferences as well as hosts educational webinars.
May 15, 2017 (NYC Chief Compliance Officer Roundtable)
- 9:00-9:30am - Networking and Continental Breakfast
- 9:30-11:00am - Program
Location: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000
Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to chief compliance officers.
Topics include:
- SEC update including: liquidity rule for funds, and the current status of the DOL fiduciary rule
- What’s going on regarding compliance and what CCO’s need to know to do their jobs
- Recent SEC exams
- Recent enforcement cases
Click here to register for this event
Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.
Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
When: Tuesday, February 21, 2017
Schedule: 11:00am ET / 10:00am CT / 9:00am MT / 8:00am PT / 7:00am AT
Description of Webinar:
The National Society of Compliance Professionals is pleased to host this webinar on “CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options” sponsored by SEC Compliance Consultants.
In this webinar, panelists will discuss indemnifications and insurance as potential remedies to address the direct financial risks to a CCO. Attendees will learn:
- What terms and conditions should Chief Compliance Officers be aware of with respect to insurance policies and riders?
- Are CCOs still covered once they leave a firm?
- What factors may a board wish to consider in connection with approving or renewing a D&O/E&O insurance policy?
- What are the protections/defenses in place for fund directors?Are CCOs afforded the same protections? Also, is outside counsel ever subject to potential liability?
- Are Fund Directors ever found personally liable or are they covered by fund assets and/or D&O/E&O insurance policies?
- What is the biggest misconception about cyber insurance?
View the Webinar Here
Webcast: SEC 2017 Examination Focus Area – Cybersecurity Testing
Penetration Testing & Vulnerability Assessments - Examining the SEC & FINRA Requirements
When: Wednesday, January 25th | Schedule: 12pm - 1pm EST
Who:
- Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions
- Michael Brice, Founder, BW Cyber Services
- John Lukan, Managing Director, SEC Compliance Consultants, Inc.
On January 12th, 2017, the SEC published its 2017 examination priorities. Once again, cybersecurity was listed as an exam priority with a renewed focus on “compliance procedures and controls, including testing the implementation of those procedures and controls at broker-dealers and investment advisers.”
While advancements in technology have greatly improved the speed, efficiency, and capability of investment adviser and broker-dealer systems and workflows, these developments have also significantly increased operational and reputational risk. An isolated system intrusion can have dramatic consequences for a SEC or FINRA registrant including financial loss, ongoing liability to clients and investors as well as potential regulatory enforcement action. In today’s environment, if a “hacked” SEC or FINRA registrant has any hope of avoiding a regulatory enforcement action, it is imperative they can demonstrate that they have adequate policies and procedures to identify and test potential cybersecurity vulnerabilities and weaknesses. Such policies must also address the experience, security vetting process and the location of any external party performing such tests.
Attend this webcast to find out what you should be doing to remain compliant and ensure the integrity, resiliency, and capacity of your infrastructure.
We will wrap up the presentation with an interactive Q&A session.
Can’t attend the live event? You should still register! We will send the recording of the webcast after the event.
Chief Compliance Officer Roundtable: Breakfast Briefing
When: October 20, 2016
Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000
Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to chief compliance officers.
Topics include:
- SEC updates including: revisions to form ADV, business continuity rule, liquidity rule for funds, and the DOL fiduciary rule
- What CCO’s need to know about cybersecurity and indemnification agreements
- Recent SEC exams
- Recent enforcement cases
Schedule:
9:00-9:30 a.m. - Networking and Continental Breakfast
9:30-11:00 a.m. - Program
Click here to register
Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.
Practicing Law Institute - Hedge Fund Management 2016
When: September 15, 2016
Where: New York & concurrent webcast | 1177 Avenue of the Americas | New York, NY 10036
Schedule: 9:00 am – 5:00 pm
Janaya Moscony, President of SEC3 will be a faculty member along with an impressive group of speakers including Jennifer Duggins, co-head of the SEC's private funds unit within the SEC's Office of Compliance Inspections and Examinations. The PLI's Hedge Fund Management 2016 program will be chaired by Leor Landa, partner in Davis Polk's Investment Management/Private Funds Group. If there is interest in attending this event, please register through PLI's website.
CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
When: April 13, 2016
Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174
22nd Floor Boardroom
Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to Chief Compliance Officers.
Topics include:
- Recent SEC Exams
- Recent Enforcement Cases
- SEC Regulatory Updates
Schedule:
9:00-9:30 a.m.: Networking and Continental Breakfast
9:30-11:00 a.m.: Program
Space is limited. Due to the overwhelming interest in these events, we are inviting only Chief Compliance Officers and their staff.
Click here to register.
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