Dallas Compliance Outreach Program for Broker-Dealers

Federal Reserve Bank of Dallas
2200 North Pearl Street
Dallas, Texas
June 7, 2016

Agenda

Registration (12:30 p.m. – 1:30 p.m.)

Welcome and Opening Remarks (1:30 p.m. – 2:00 p.m.)

  • Shamoil Shipchandler, Director, Fort Worth Regional Office, SEC
  • Erin C. Vocke, Vice President, Director, Dallas/New Orleans District Office, FINRA

Panel 1: Supervision (2:00 p.m. – 3:15 p.m.)

Panelists will discuss overall supervisory structure and provide guidance on how regulatory agencies and broker-dealer firms are examining for, or complying with, the rules. Panelists will address the effective use of technology and other resources and the design of risk-based reviews. Topics such as branch office supervision, email monitoring and outside business activities will also be dicussed.

  • Scott H. Maestri, Associate Director, Dallas District Office, FINRA (moderator)
  • Scott O. Fertig, Securities Compliance Examiner, Fort Worth Regional Office,SEC
  • Leslie Jallans, Chief Compliance Officer, NEXT Financial Group Inc
  • David Williams, President, Williams Financial Group Inc

Break (3:15 p.m. – 3:30 p.m.)

Panel 2: Cybersecurity ( 3:30 p.m. – 4:45 p.m.)

Panelists will address current cybersecurity threats impacting broker-dealer firms and the securities markets including mitigation approaches. Panelists will also discuss the legal landscape and share industry best practices.

  • Shamoil Shipchandler, Director, Fort Worth Regional Office, SEC (moderator)
  • Richard J. “Jay” Johnson, Attorney, Jones Day
  • Chad M. Pinson, Managing Director, Stroz Friedberg

Closing Remarks (4:45 p.m. – 5:00 p.m.)

  • Shamoil Shipchandler, Director, Fort Worth Regional Office, SEC