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Regulatory & Compliance Program
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BISA Regulatory & Compliance Program

BISA launched the Regulatory & Compliance Program in 2014 to serve as a resource for its member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance, and risk management expertise through regular editorial content submission, training and education, conference programming, and other monitoring and risk management information services that would benefit BISA members. 

 

Regulatory & Compliance Education Committee

BISA launched the Regulatory & Compliance Program in 2014 to serve as a resource for its member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance, and risk management expertise through regular editorial content submission, training and education, conference programming, and other monitoring and risk management information services that would benefit BISA members. 

The current Regulatory & Compliance Education Committee is: 

  • Carol Goulding, M&T Securities (Chair) 
  • Rhomes Aur, FTB Advisors
  • Rob Blenis, Raymond James
  • Kendra Cain, Iberia Financial Services, LLC 
  • Kenneth Cherrier, U.S Bancorp Investments, Inc. 
  • Tom Deck, M&T Securities
  • Frank Drago, Santander Investment Services
  • Kevin Larson, Cetera Investment Services, LLC
  • Kate Ring, LPL Financial 
  • Jeffrey Walter,  U.S. Bancorp Investments, Inc. 

Regulatory & Compliance Advisory Board (RCAB) 

The BISA Regulatory & Compliance Advisory Board provides BISA member firms with knowledge and expertise to navigate the current regulatory environment. The RCAB works closely with the R&C committees to ensure BISA is providing its member firms with the most accurate and relevant information. Please click here to learn more about the BISA RCAB firms. 

The current Regulatory & Compliance Advisory Board is: 

  • Noel Bishop, Dickinson Wright 
  • Louis Dempsey, Renaissance Regulatory Services, Inc. (RRS) 
  • Jeffrey Holik, Matasar Jacobs LLC 
  • Ivan Knauer, Snell & Wilmer 
  • Ben Marzouk, Eversheds Sutherland 
  • David Porteous, Faegre, Baker, Daniels 
  • Dee Stafford, ACA Compliance Group 

Regulatory & Compliance Networking Group 

The Regulatory & Compliance Networking Group is comprised of compliance and risk officers from BISA member firms. Facilitated on a rotating basis by subject matter experts from the RCAB member firms, the RCNG hosts monthly calls to discuss industry topics and trends and to share best practices with other members of the group. 

If you are interested in being added to future calls, please contact Faith Walters at FWalters@bisanet.org. Please note, these calls are for BISA members only. 

 

 


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