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NYC Compliance Session Preview

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Written by

NIBA

Published

April 12, 2018

Reading time

2 min

The second session of this year’s NYC meeting will concentrate on three areas of compliance which are most often queried by our members. The session will begin at 2:35pm, and will consist of three 15-minute presentations on the following issues: (i) Recording - I need to record that? Presented by Rob DeMuria, President, Compliance Supervisors Intl., Inc. (CSI). CSI, established in 1994, provides full compliance and financial services, as well as online training courses in ethics, AML and Cybersecurity to NFA Members. CSI is headquartered in New Jersey, and maintains an office in Chicago. rdemuria@compliancesupervisors.com Rob will focus on the extreme challenges our community faces with supervising, recording and storing various forms of communications/solicitations between brokers and leads/customers. He’ll offer some reasonable compliance solutions for small to mid-size firms. (ii) Cybersecurity - What you need to know about NFA Interpretive Notice 9070. Presented by Arthur Kenigstain, Manager, New York Compliance NFA. akenigstain@nfa.futures.org Arthur will focus on implementation of NFA Interpretive Notice 9070 - Information Security Program, common findings noted during examinations and your next steps. (iii) MiFID II - Where are we now? Presented by Ihor Andrushko, Managing Director, Sales US, Born Technology. Born is a Capital Markets Fintech company with expertise in delivering tools and technologies required for executing firms to keep pace in today’s market place. Their core business is market data, exchange connectivity and global proximity hosting. ihor@borncapital.com Ihor will focus on the new array of European-based regulations that may impact your business as a result of the recent implementation of MiFID II. This session begins at 2:35pm, April 19 at the NYAC. Register HERE for the entire program.

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