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Common Examination Findings for Institutional Firms: 2019-2020 Update

SKU: FIN8100
Total Credits
1 - 1.2
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This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement to mitigate risks common to institutional firms. Upon completion of this CLE, you will be able to: Discuss regulatory change management; Implement the debt research rule; Summarize concerns regarding conflicts clearance; Understand how to put information barriers in place; Define and discuss customer indications of interest.

Lecturer Bios

Scott M. Gilbert, Esq.

Scott M. Gilbert is a Senior Examination Director with FINRA with responsibility for the New York District’s large firm sales practice examination program and the District’s cause examination program. From 2004 through 2013, Mr. Gilbert was employed at UBS Financial Services Inc. in various roles including Executive Director and Head of Compliance for the Wealth Management Advisor Group of UBS, with responsibility for compliance matters and policies relating to the broker-dealer’s financial advisors.

From 2006 through 2010, he was Senior Associate General Counsel and head of the group responsible for internal investigations and disciplinary recommendations at UBS. In that role, he advised the firm's management in all aspects of issues related to employee compliance with firm policies and industry rules, regulations and laws. From 2000 to 2004, Mr. Gilbert was Vice President and Senior Counsel with Merrill Lynch & Co., where he was responsible for global regulatory matters and internal investigations.

Before that, he was a trial counsel with the Division of Enforcement of the New York Stock Exchange, responsible for enforcing the rules of that self-regulatory organization, investigating customer complaints and prosecuting disciplinary actions. He also was previously a litigation attorney in private practice, with a focus on complex commercial litigation and securities class actions. Mr. Gilbert is a graduate of Columbia University and New York University School of Law.

Jonah Arcade, Esq.

Jonah Arcade has been with FINRA for nine years, and is currently an Examination Manager in FINRA’s NY District Office dedicated to large firm sales practice examinations. Mr. Arcade started his career at FINRA in 2010 as a Principal Examiner, and was promoted to Examination Manager in 2015. Additionally, he works with FINRA’s Regulatory Specialist Program as the head of the Research Subject Matter Expert Group. Prior to joining FINRA, Mr. Arcade spent five years with Bear, Stearns & Co. and one year with J.P. Morgan Securities LLC covering fixed income and equity research. While at Bear Stearns, he obtained the Series 7, 63 and 24 registrations. Mr. Arcade is a graduate of the University of Michigan and the American University Washington College of Law.

Andrew Weinberg, Esq.

Andrew L. Weinberg is Managing Director at Bank of America (BofA). Mr. Weinberg manages the Office of the Chief Compliance Officer for the Global Banking and Markets (GBAM) business; oversees the Regulatory Change, Policies and Training, Regulatory Strategy and Reporting, and Issues Management teams for GBAM; and oversees Volcker Compliance and Swap Dealer Compliance across all of BofA’s businesses. Prior to joining BofA in August 2015, Mr. Weinberg was the Deputy Head of Compliance for North America at Deutsche Bank. At Deutsche Bank, Mr. Weinberg managed Compliance’s role in global regulatory programs such as Volcker and Swap Dealer and oversaw all aspects of the Compliance Program for the Americas, including regulatory change and strategy, policies, risk assessments, and testing. Before assuming his position in Compliance, Mr. Weinberg served as a member of Deutsche Bank's Litigation and Regulatory Group. Mr. Weinberg graduated, summa cum laude, from Columbia College in 1991 and was elected to Phi Beta Kappa at the end of his junior year. He graduated, cum laude, from Harvard Law School in 1994.

Ann McCague

Ann McCague has served as Managing Director and Global Head of Compliance for Piper Jaffray Companies since 2005, where she is responsible for regulatory compliance at all group affiliates, including Piper Jaffray & Co., the U.S. broker/dealer and primary operating entity, two foreign broker/dealers and five separate registered investment advisors. Ms. McCague’s career path covers 35 years in the industry, including CCO positions at Dain Rauscher and Think Equity Partners, as well as prior senior compliance positions at national firms. Given her broad scope of knowledge and seasoned expert, she is a frequent conference panelist. Ms. McCague is/has been a member of numerous FINRA and SIFMA committees. Ms. McCague is a graduate of Augsburg College in Minneapolis, MN, where she earned a master’s degree in Leadership and an undergraduate degree in English, with a Communications minor.

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