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Communications Compliance: Current Developments

SKU: SEC014
Total Credits
1 - 1.2
Price$50
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Description

This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends.

Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space.

After attending this session, you will be able to:

  • Discuss revisions made to FINRA Rules 2210 (Communications With the Public)
  • Focus on issues the Advertising Regulation staff has seen regarding firm communications concerning digital assets and transaction accounts

Lecturer Bios

Suzanne L. Bond

Suzanne L. Bond is a highly regarded Chief Compliance Officer with a demonstrated track record for over 25 years in various sectors of the financial services industry. She began her career with a national wire house in fixed income and futures, and further expanded her expertise across regional and independent broker/dealers, and registered investment advisory firms where she has held positions in sales, marketing and compliance. In her current role as Senior Vice President, Chief Compliance Officer of Inland Securities Corporation, the affiliated dealer/manager of Inland Real Estate Investment Corporation, Ms. Bond contributes her skills in areas of business governance and risk management, investment management practices, alternative investment markets, and compliance management.

She is a strong influencer to senior business stakeholders, assisting with strategic planning, operational procedure, employee compensation, and technology systems development. Prior to joining Inland, Ms. Bond served as Vice President and Director of Supervision for the Capital Markets Group at Wedbush Securities. Prior to that, she served as Chief Compliance Officer for a number of independent broker/dealers and investment advisory firms, both retail and institutional.

In January 2020, Ms. Bond was appointed to the Financial Industry Regulatory Authority (“FINRA”) Midwest Region Committee for a three-year term. She is a frequent panelist/guest speaker at national industry events including the inaugural SEC Compliance Outreach Program.

Ms. Bond holds a B.S. in International Business from Union Institute & University and a Master of Jurisprudence, Business Law from Loyola University Chicago. She is fluent and/or conversant in six languages, and holds FINRA Series 7, 24, 63, 66, 79, and 99 licenses.

Pramit Das

Pramit Das is Associate Director-Technology of FINRA’s Advertising Regulation Department. In this role, his responsibilities include managing a filings review group; assisting with administration of the filings review program; developing and maintaining the department’s technology needs; providing education to members, FINRA staff and other regulatory staff; and participating in certain rule amendment and rulemaking projects as necessary.

He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation. Prior to joining NASD in 1994, Mr. Das worked for Metropolitan Life Insurance Company and Arthur Andersen & Co. He holds an MBA in Finance from the University of Maryland, College Park, and an MA in Financial Economics from Clemson University, Clemson, South Carolina. He was also Series 7 and 63 registered.

Sheelagh Howett

Sheelagh Howett is Chief Risk Officer at Cantella & Co., Inc. She is on the Board of Directors and shares leadership responsibility with the executive management team for overseeing the growth and success of the firm. She focuses on keeping clear and regular communication between business units and compliance within the firm. She strongly believes that risk is an enterprise-wide responsibility and has created a risk-aware culture including an understanding that risk prevention is everyone’s job.

She continually works to further develop risk-management processes to identify, assess, and respond to the inevitable risks that face our industry. At the same time, she works to improve the efficiency and integration of existing processes into daily routines so they become ingrained in the firm's business.

Ms. Howett is an active member of the Greater Boston Chamber of Commerce, the New England Broker/Dealer Investment Advisor Association, and the Women in Pensions Network. Originally from Ireland, Ms. Howett earned a BA in Banking and Finance at University College in Dublin. She holds FINRA Series 7 and 24 licenses.



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