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NYC Broker Dealer, Investment Adviser Compliance Evening Conference
Thursday, May 10, 2012 from 5:00 PM to 8:30 PM (EDT)
New York, United States
Please Join us for our second annual NYC Broker/Dealer, Investment Adviser Compliance Officers LinkedIn Group Evening Conference & Mixer!
Hosted by Rosenthal Recruiting and Boston Compliance Associates
NASDAQ OMX- Corporate Sponsor
*** This venue has limited seating. *** (Less then 10 available as of 5/4/12)
Located at Katwalk May 10th, 5:00 pm to 8:30 pm
5:00 pm to 5:30 pm Registration, Cocktails & Networking
5:30 pm to 5:35 pm Welcome Message & Opening Remarks
5:35 pm t0 7:35 pm Guest Speaker Presentations
- Bill Nosal, Senior Managing Director, Product Management at NASDAQ OMX; Current Trends in the Global Regulatory Landscape
- David A. Rozenson Esq., Consultant at Boston Compliance Associates, Law Office of David A. Rozenson; The JOBS Act - Financial Regulation Reformed or Undermined?
- Diana B. Henriques, Senior Financial Writer at the New YorkTimes & the author of the bestseller "The Wizard of Lies: Bernie Madoff and the Death of Trust" Blind Spots: Lessons Everyone Needs to Learn from the Bernie Madoff Scandal - Book Sales & Autographs Available
7:35 pm to 7:40 pm Closing Remarks
7:40 pm to 8:30 pm Cocktails (open bar), Hors D'oeuvers & Networking
*** Dessert provided by Dizzie Lizzie Cookies http://www.dl-cookies.com/ ***
Attorneys: CLE Credit pending; Non-Attorneys: CE Credit available
Event Participants: BD IA Compliance Officers LinkedIn Group, Boston Compliance Associates, David Rozenson Esq., Diana Henriques, NASDAQ OMX, Rosenthal Recruiting
When & Where
Broker/Dealer, Investment Adviser Compliance Officers LinkedIn Group
The Broker/Dealer, Investment Advisers Compliance Officers LinkedIn Group is one of the largest non-profit social media networks for compliance and legal professionals on-line. The group consists primarily of securities attorneys and compliance officers from broker/dealer FINRA member firms as well as SEC registered and non-registered Investment Advisers. The member base also includes consulting professionals who specialize in compliance, legal, and regulatory IT vendor services as well as current and former regulators.
Co-hosted by Rosenthal Recruiting and Boston Compliance Associates.