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Considerations and Practices for Supervising Independent Contractors

SKU: FR2800
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance, and shares effective industry practices.

After attending this session, you will be able to:

  • Understand the risk associated with supervising independent contractors.
  • Identify best practices for supervision and oversight of independent contractors.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Lecturer Bios

Elizabeth Page

Elizabeth Page is the Vice President and Director of FINRA’s Boston District office. In this role, she is responsible for the regulatory programs that oversee the FINRA firms and registered representatives within New England and portions of Canada and Europe. Prior to her position in Boston, Ms. Page was the Deputy Director in the FINRA’s Chicago District office and has served in a variety of staff and management roles including managing and conducting onsite examinations of the main offices and branches of FINRA firms, investigations of customer complaints and terminations for cause and applications for membership. Ms. Page has a Bachelor degree in Finance and a Master of Business Administration degree from the University of Denver.

Suzy Auletta, Esq.

Suzy Auletta is the Executive Vice President and Chief Compliance Officer of LPL Financial. Ms. Auletta is responsible for the coordination and execution of a variety of functions within compliance as well as registrations. Most notably, she is responsible for the existing brokerage surveillance team, incorporating oversight and monitoring functions from other parts of GRC, and developing a holistic multi-year plan for oversight and monitoring systems, processes, and infrastructure. Ms. Auletta has more than 25 years of experience specializing in regulation, compliance, surveillance, and business management in the financial services and securities industry. She worked most recently as a managing director in Global Wealth Investment Management Compliance at Bank of America Merrill Lynch, where she managed a team of more than 90 professionals performing essential compliance functions, including branch examinations, compliance monitoring, testing, and surveillance, regulatory exam management, and vendor compliance. In earlier roles, Ms. Auletta served as the chief compliance officer and regulatory counsel for a large NYSE specialist firm and as a defense attorney at a law firm specializing in regulatory litigation. She began her career as an enforcement attorney at the American Stock Exchange, where she remained for over 11 years, ultimately serving as chief counsel. Ms. Auletta earned a Bachelor of Arts in psychology and sociology from the State University of New York at Albany and a Juris Doctorate from Brooklyn Law School.

Thomas Horack

Thomas Horack is the Chief Compliance Officer of John Hancock’s retail distribution arm, John Hancock Financial Network. In this current role, he is responsible for designing, monitoring and overseeing the firm’s written supervisory policies and procedures. Mr. Horack is a general securities registered principal holding his Series 7 and 24 FINRA registrations. In addition to working for John Hancock for more than 32 years, Mr. Horack has also work for Deloitte and Touche in their Regulatory Consulting Practice. From an industry standpoint, he was on the NASD District Committee for District 11 from 2002 through 2004, and was the Chairman of the committee for 2004. As Chairman of the District 11 District Committee, he also served on the NASD Advisory Council in 2004. During 2007 and 2008, he was a member of the District 11 Nominating Committee. He currently is a member of FINRA’s Independent Dealer/ Insurance Affiliated Committee and the Series 6 & 26 Exam Committee. Mr. Horack is a graduate of Babson College.

Don Runkle

Don Runkle is the Director of Consulting Services with Edgerton & Weaver, LLC, and the Regulatory Compliance Director for Coordinated Capital Securities, Inc. Mr. Runkle works with broker-dealers, investment advisers, and registered representatives to develop, implement, and execute strategies to mitigate or eliminate their litigation and regulatory risks. The combination of his firm’s legal expertise, strong regulatory relationships, and extensive business experience allows the firm to offer a uniquely comprehensive range of services for their clients. In his role with Coordinated Capital Securities, he helps to ensure that the firm has appropriate processes and procedures to exceed all regulatory requirements and manage risks in an efficient and effective fashion. He also assists with the execution of all procedures as necessary, including support functions in examinations, regulatory inquiries, customer complaints, options activities, municipal bond activities, new and ongoing product reviews, suitability analyses, and general operational and compliance functions. Mr. Runkle was previously the Chief Compliance Officer for Raymond James Financial Services, Inc., in St. Petersburg, Florida. He has over 23 years of experience in the financial services industry, having worked as a financial advisor and in several compliance-related roles. Mr. Runkle has been an active leader in numerous industry associations and regulatory committees. He currently serves on the FINRA Membership Committee, and he was previously elected to two terms on the FINRA District 7 Committee. He has also served on the FINRA Regulatory Advisory Committee, the SIFMA Compliance and Regulatory Policy Committee, the FSI Compliance Council, and the SIFMA Compliance and Legal Society’s Regional Firms Committee. Previous industry involvement also includes the FINRA Compliance Resources and Education Committee, the FINRA Books and Records Task Force, the NASD Licensing and Registrations Council, the SIFMA Self-Regulations and Supervisory Practices Committee, the SIFMA State Regulation and Legislation Committee, and the IAFP Compliance Advisory Council. He holds numerous industry licenses, including the Series 7, 24, 53, 4, 63, 65, and previously obtained the Florida Life and Health insurance license. He also completed the Securities Industry Institute at the University of Pennsylvania Wharton School in 2004, and he has been a FINRA arbitrator since 1998.



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