Preventing Market Abuse and Insider Trading with Next Generation Surveillance Tools Webinar
Join Us for a Webinar on Preventing Market Abuse and Insider Trading with Next Generation Surveillance Tools
Date: September 23, 2020
Time: 1:00PM – 2:00PM (EDT)
Topics:
- Current SEC and FINRA examination focus areas and enforcement trends
- Using compliance surveillance tools to protect first line supervisors
- Global trading trends and issues
- State of the art surveillance approaches including AI, targeted algorithms, and exception reports
- Using risk assessments to implement a compliance surveillance program without breaking the bank
Who Should Attend:
- CCOs and Compliance Staff
- Legal Staff
- Risk and Audit Professionals
- First Line Supervisors
- Technology Experts
Relevant Organizations:
- Hedge Funds
- Credit Managers
- Investment Companies
- Bank Affiliated Broker Dealers
- Retail Broker-Dealers
- Investment Banks
Speakers:
Scott Burke, Regulatory Product Manager, RIMES Technologies
Joining RIMES in 2018 as a former Compliance Advisory and Surveillance Officer, Scott Burke is leading RIMES to apply its core data management expertise to serve regulatory needs. He brings a forward-thinking compliance-risk mindset, with a focus on enabling supervision and surveillance personnel to perform data-driven analysis. Prior to joining RIMES, Scott worked in the Capital Markets regulatory space serving in multiple advisory and surveillance capacities, with extensive experience in building trading surveillance programs. Scott most recently covered capital markets advisory and surveillance for Janney Montgomery Scott LLC in Philadelphia. Prior to Janney, Scott was instrumental in building a surveillance program at ICAP North America, the world’s largest fixed income inter-dealer broker at the time. He began his career in several compliance roles within Bank of America-Merrill Lynch. He attained his FINRA Series 4, 7, 24, 53, 55, and 66 licenses during his time as a Compliance Officer and also continues to serve in the U.S. Navy Reserve.
Gino Ercolino, Director, Treliant
Gino Ercolino is a Director in Treliant’s Securities & Investment Management Compliance, Corporate & Regulatory Investigations, and Global Financial Crimes Compliance service areas. He has 25 years of experience as an attorney and financial regulator, serving in various leadership roles. Gino assists broker-dealers and registered investment advisors with satisfying their securities compliance and regulatory program obligations. He works with various financial institutions to manage all phases of enforcement, regulatory, and corporate investigations. In the global financial crimes compliance space, Gino advises clients on Anti-Money Laundering (AML)/Bank Secrecy Act (BSA), Anti-Bribery and Corruption (ABC)/Foreign Corrupt Practices Act (FCPA) and Office of Foreign Assets Control (OFAC) regulatory remediation, compliance and governance obligations, and risk management.
Alan Halfenger, Managing Director, Treliant
Alan Halfenger is a Managing Director in Treliant’s New York office. A former Chief Compliance Officer from the securities and investment management industry with experience in Anti-Money Laundering (AML), anti-corruption, sanctions, and know-your-customer compliance, Alan advises clients on regulatory risks related to global securities and commodities dealings, as well as financial crimes compliance. He has had a distinguished twenty-five-plus year career in the financial services industry, both as a consultant and an in-house compliance and legal professional.
Registration (Complimentary)*:
*Registration is required. Dial-in instructions will be provided once registration is confirmed.