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Outsourcing and Vendor Management: 2017 FINRA Annual Conference

SKU: FR4600
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

While outsourcing is an activity or function that a third-party service provider performs to assist an organization, an outsourcing arrangement does not relieve firms of their ultimate responsibility for compliance with all applicable laws and security regulations. During this CLE session, FINRA staff and industry members address the use of third-party service providers and firms’ responsibility for complying with all applicable laws and security regulations. Panelists also discuss policies, procedures, and resources to effectively analyze new and existing vendors, and how to oversee third-party providers and their services.

Lecturer Bios

R. Scott DeArmey

R. Scott DeArmey is District Director of the Kansas City District Office of FINRA where he is responsible for regulatory oversight of FINRA member firms, branch offices, registered representatives and associated persons located in seven states throughout the Midwest: Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota. Mr. DeArmey began his FINRA career 27 years ago as an examiner in the Atlanta District Office and has participated in a variety of examinations and investigations involving brokerage firms and registered representatives. He has been in management positions for 20 years and has also been involved in various regulatory and educational initiatives including developing and teaching supervision courses at the FINRA Institute. He received his Finance degree from Georgia State University and is a graduate of FINRA’s Leadership Program at Wharton.

David Glockner

David Glockner joined the SEC in December 2013 as Regional Director for its Chicago office, which oversees the SEC’s examination and enforcement work in nine Midwestern states. He is active in cybersecurity issues for the SEC’s examination and enforcement programs at both the local and national levels, and serves as co-chair of the SEC’s Cybersecurity Working Group. Previously, he was the managing director in charge of the Chicago office of a global digital risk management and investigations firm. From 1987 to 2012, he served in the U.S. Attorney’s Office in Chicago, including 11 years as chief of the office’s criminal division. During his career as a federal prosecutor he led significant prosecutions involving securities and commodities fraud, public corruption, cybercrime, and national security. He was one of the office’s computer crime coordinators for more than 20 years and wrote the Justice Department’s principal reference manual on banking crimes. He is an adjunct professor at the University of Illinois College of Law, where he teaches a course on cybersecurity and the legal system.

Angela K. Johnson

Angela K. Johnson leads the Enterprise Information Security Group at Robert W. Baird & Co. Her team is responsible for driving a human-centered approach to protecting client data, firm data and assets. The team works in close partnership with all parts of the firm to allow associates to take advantage of new technology in compliance with the strict regulatory environment governing the financial services industry. Ms. Johnson brings a multi-disciplined approach to leading and executing a risk based information security program and strategy. Ms. Johnson is a Wisconsin native and received her BA in Criminal Justice, a MBA with specialization in Risk Management and is currently pursuing a Ph.D. focusing on Information Security. Ms. Johnson has worked in the Financial Services Industry for more than 13 years.

Rebekah Powers

Rebekah Powers is Senior Vice President and Chief Compliance Officer at Calton & Associates, Inc., an independent broker/dealer and investment adviser located in Tampa, Florida. In her role with Calton & Associates, Ms. Powers administers and oversees the compliance program for both the broker/dealer and the investment adviser, and manages the firm’s relationships with various regulatory bodies. She joined Calton in February 2017, after serving for nearly five years as the Director of Compliance with Summit Brokerage Services, Inc., a Cetera Financial Group firm located in Boca Raton, Florida. Ms. Powers has been in the securities industry since 2002, and has had experience in various aspects of the business from sales, to trading, to principal review. She made the transition into compliance in 2008, and since then has worked in various roles within compliance departments. Ms. Powers holds numerous industry licenses including the FINRA series 7, 24, 53, and 4, as well as the NASAA series 66. She has a Bachelor of Science degree in business administration from Miami University in Oxford, Ohio.



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