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Outside Business Activities and Private Securities Transactions

SKU: FR6100
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs.

After attending this session, you will be able to:

  • Understand the challenges firms are facing related to OBAs and PSTs.
  • Develop effective practices related to monitoring and supervising OBAs and PSTs.
  • Identify red flags and potential issues regarding OBAs and PSTs.
  • Understand the areas of focus on examinations related to OBAs and PSTs, examination deficiencies and ways firms are addressing them.

Lecturer Bios

William St. Louis

William St. Louis is the District Director of FINRA’s New York and Long Island offices and manages the sales practice examination and surveillance staff in those offices. Prior to assuming this role in June 2014, he was the Regional Enforcement Chief Counsel for FINRA’s North Region where he managed Enforcement staff in FINRA’s New Jersey, Boston, and Philadelphia offices. He joined the company in 1998 and spent several years in a variety of Enforcement roles in New York including service as a Deputy Regional Chief Counsel. Mr. St. Louis earned a B.A. from Baruch College and a law degree from New York University School of Law. Prior to law school he worked in the Compliance Department of a regional broker-dealer.

Mari J. Buechner

Mari J. Buechner is President and Chief Executive Officer of Coordinated Capital Securities, Inc. (CCS). With more than 20 years of industry experience, Ms. Buechner has comprehensive executive management expertise in compliance, finance, marketing, operations, service and technology. In 2008, Ms. Buechner was elected to serve on the FINRA Board of Governors and is a past member of FINRA’s Small Firm Advisory Board and the FINRA District 8 Committee. Ms. Buechner currently serves on the FINRA Independent Dealer/Insurance Affiliate Committee and volunteers her time to work on various ad hoc committees and educational programs. She has been recognized as one of the “Top 50 Women in Wealth Management” (Wealth Manager, April 2009) and formerly served as Chairman of the Board for the Financial Services Institute. Ms. Buechner graduated from the University of Wisconsin-Madison with a bachelor’s degree in finance and marketing.

Edward G. Sullivan

Edward G. Sullivan is Executive Director in National Field Risk & Supervision at Morgan Stanley where he is focused on the development and implementation of controls for the Wealth Management field organization. Mr. Sullivan came to Morgan Stanley in October 2016 with almost 20 years of experience in a variety of roles, most recently with UBS where he was the Head of Field Compliance. Prior to joining UBS, he spent time as a Broker-Dealer consultant at KPMG, a sales practice examiner at the former NYSE, and began his career as a Financial Consultant with Merrill Lynch. Mr. Sullivan has presented at various industry education conferences including SIFMA and the FINRA Compliance Outreach Program for Broker-Dealers.

Justin Triolo

Justin Triolo is Associate District Director with FINRA’s District 10 New York office and has been with FINRA since April 2004. In his role, Mr. Triolo manages approximately 25 staff members, including Examination Managers and Examiners, who are responsible for conducting cycle and branch office examinations of member firms. Mr. Triolo started his career in Regulation as an Examiner with the Sales Practice Review Unit of NYSE Regulation. Prior to joining FINRA, Mr. Triolo was a Senior Analyst for Novations, and responsible for quality assurance testing, curriculum development and training for the Competitive Positions Group of the NYSE. Mr. Triolo has a Bachelor of Arts degree from Gettysburg College.



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