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Financial and Operational Considerations and Issues

SKU: FR1800
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program discusses current financial, operational, and back office issues. Panelists will also provide an overview of pending and proposed rule initiatives.

After attending this session, you will be able to:

  • Discuss recent financial and operational rulemaking activity
  • Discuss recent U.S. Securities and Exchange Commission (SEC) financial and operational rulemaking activity
  • Understand current financial and operational issues at FINRA member firms
  • Discuss recent FINRA financial and operational rulemaking activity

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

Lecturer Bios

Ornella Bergeron

Ornella Bergeron has been with FINRA since its inception in 2007. In her role as a Senior Vice President in the Risk Oversight and Operational Regulation group of Member Regulation, she leads a group of 90 professionals who supervise and examine approximately 200 of FINRA’s largest members for financial and operational soundness, risk assessment adequacy and business conduct compliance. Prior to joining FINRA, Ms. Bergeron spent 19 years at the New York Stock Exchange in similar roles. Ms. Bergeron is also a Senior Program Team Member responsible for the governance over Member Regulation’s Surveillance and Examination Programs. Ms. Bergeron holds a BBA in Finance from Iona College.

Kris Dailey

Kris Dailey is a Vice President in the Risk Oversight and Operational Regulation department in FINRA’s Member Regulation division. Ms. Dailey oversees the development of broker-dealer financial and operational policies and rule interpretations, FINRA’s margin rules and credit regulation policy, evaluation of market and credit risk methodologies and examination related automation initiatives. Ms. Dailey was previously a Managing Director at FINRA’s predecessor, NYSE Regulation, where she held various staff and managerial positions and was responsible for financial surveillance of member firms and the supervision of member firm examinations. Ms. Dailey received a B.S. from St. John’s University and a M.B.A. from Fordham University.

Irving Klubeck

Irving Klubeck is Managing Director for Pershing LLC, where he is a member of Customer Processing and Services, and is responsible for Global Clearance and Settlements, Prime Broker and Securities Lending Operations, as well as serving as the Chief Executive Officer of Pershing Canada Securities Limited. Mr. Klubeck re-joined Pershing in 2004 after two years with State Street Corporation leading their effort to provide hedge fund operations to their alternative investing clients. Mr. Klubeck began his career with Pershing in 1978 and has worked in the firm’s Treasurers, Balancing, Securities Lending (Sales and Operations), and International Operations departments. Mr. Klubeck served 6 years as President of the Securities Industry and Financial Markets Association’s (SIFMA) Securities Lending Division and is an active participant in numerous industry task forces and working groups. Mr. Klubeck earned a Bachelor of Business Administration degree in Finance from Pace University and is also a graduate of the Securities Industry Institute, sponsored by the SIFMA at The Wharton School. He holds NASD® Series 7, 24, 27 and 63 licenses as well as the Canadian CSI Directors license.

Jeff Levine, Esq.

Jeff Levine is the general counsel of Mesirow Financial. Mesirow Financial is a diversified financial company with a myriad of investment management, broker-dealer and insurance business lines. In this position, Mr. Levine is responsible for Mesirow Financial’s global legal activities and policies including its overall compliance with applicable regulatory organizations such as the Financial Industry Regulatory Authority, U.S. Securities and Exchange Commission (SEC), Commodities Futures Trading Commission, National Futures Association and various other foreign and state agencies. Prior to joining Mesirow Financial, he was an attorney advisor in the regulation division of the SEC, where he was responsible for the compliance of registered entities with federal securities regulations and self-regulatory agency rules. He also was assigned to the Enforcement Division of the SEC. Prior to his tenure at the SEC, Mr. Levine was an Assistant Cook County State’s Attorney. Mr. Levine holds a juris doctor degree from DePaul University College of Law and a Bachelor of Arts degree from Northwestern University. He holds multiple securities licenses, passed the U.K.’s Principal of Financial Regulations and has earned the designation of Chartered Alternative Investment Analyst program. Mr. Levine also serves on FINRA’s District Committee and its series 14 test writing committee.

Michael A. Macchiaroli

Michael A. Macchiaroli is an Associate Director, Office of Broker-Dealer Finances, Division of Trading and Markets, U.S. Securities and Exchange Commission, where he is responsible for the broker- dealer financial responsibility program, which deals with the capital record-keeping, reporting and customer protection rules. Mr. Macchiaroli has been employed at the Commission since 1970 and in the Division of Trading and Markets since 1978.



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