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2015 Regulatory & Compliance Presentations
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Bad Time To Be A Big Entity: Lessons Learned From Regulatory Fines in 2015

Panelists: Louis Dempsey, President, Renaissance Regulatory Services

     Ivan Knauer, Partner, Pepper Hamilton, LLP 

     Tammy Tam, Principal Consultant, ACA Compliance Group

Pros and Cons of Advisory vs. Brokerage

Panelists: Steven M. Felsenstein, Shareholder, Greenberg Traurig

     Bart McDonald, Executive Vice President, Renaissance Regulatory Services

     Cliff Kirsch, Partner, Sutherland Asbill & Brennan 

Vendor Due Diligence

Panelists: Barbara Mallon, Partner, Mallon & Johnson 

     David Porteous, Partner, Faegre Baker Daniels 

Social Media Due Diligence

Moderator: Barbara Mallon, Partner, Mallon & Johnson

Panelists: Jeff Walter, Vice President and CCO, U.S. Bancorp, Inc. 

     Harry Chafee, Director of Regulatory Services, Renaissance Regulatory Services

     Bryan Young, Vice President of Sales, Global Relay

Supervisory Challenges Related to Advisory Programs

Panelists: Dan Campbell, Managing Director, ACA Compliance Group

     Steven M. Felsenstein, Shareholder, Greenberg Traurig

     Cliff Kirsch, Partner, Sutherland Asbill & Brennan 

     Bart McDonald, Executive Vice President, Renaissance Regulatory Services

     Michael Pearson, Compliance Director, SunTrust Investment Services

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