Preserving Compliance in an Evolving Regulatory Environment
The QUMAS-hosted Compliance Executive breakfast provides an opportunity for senior regulators and compliance executives to share their perspectives on the importance of preserving regulatory compliance, enforcing compliance and governance systems to carry out their regulatory responsibilities, as well as working with business units to provide the information needed for effective oversight.
You are invited to ask questions and explore ideas with Chip Jones, FINRA’s Vice President of Member Relations, for developing new strategies to address your compliance challenges and how to turn them into opportunities to bring value to your firm. We’ll also discuss ways to ensure that your firm is meeting regulators’ expectations while mitigating risk, whether it’s in policies, procedures, communications, monitoring activity, or investigations.
Compliance topics that will be addressed include:
- The current status of the integration, consolidation and coordination of NASD and NYSE and the intersections of regulatory responsibility.
- Perspectives on compliance initiatives, rulings and examination priorities of the largest institutional investment, securities and banking firms.
- What are the expectations and implications for tracking, monitoring and reporting the effectiveness of governance, risk and compliance programs across the organization?
- Ways to implement technology to enable firms to automate compliance activities, set business priorities and develop risk management strategies to ensure better business performance.
Please join us:
Wednesday, October 17, 2007
8:00 a.m. - 10:00 a.m.
Harvard Club of New York City
35 West 44th St.
New York, NY 10036
This is an invitation-only, complimentary breakfast with prominent senior compliance and risk executives in financial services. Space is limited, so register today.
Featured Speaker:
|
Chip Jones |
Caoimhe Lynch-Kiely |
Date/Time
Wednesday, October 17, 2007
8:00 a.m. - 10:00 a.m
Venue
Harvard Club of New York City
35 West 44th St.
New York, NY 10036
Agenda
| 8:00 - 10:00am | |
|---|---|
| 8:00am | Registration and buffet breakfast |
| 8.30am | Introduction to the morning's program |
| 8.45am | Chip Jones, FINRA |
| 9.15am | Caiomhe Lynch-Kiely, QUMAS |
| 9.45am | Interactive discussion with audience participation. | 10.00am Close |
About Our Speakers
Chip Jones
Vice President of Member Relations for FINRA
Chip Jones is Vice President of Member Relations for FINRA. In leading the Member Relations Department, Mr. Jones’ responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Previously, he was State Liaison for NASD, supervising and coordinating major policy projects and initiatives between NASD, NASAA and state securities regulators. Additionally, he oversaw liaison initiatives for NASD Registration and Disclosure related to all external users of the Web CRD and IARD systems and oversaw management for NASD’s Gateway Call Center. Prior to joining NASD, Mr. Jones was Vice President of Regulatory and Industry Affairs at American Express Financial Advisors (AEFA). In this position, he worked on securities compliance, regulatory and legislative initiatives.
The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States. Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.
Caoimhe Lynch-Kiely
Compliance Strategy officer
QUMAS
Caoimhe Lynch-Kiely is Compliance Strategy Officer for QUMAS and works with mulit-national organizations in heavily regulated industries to build and implement solutions for compliance and regulatory management. Since joining QUMAS, Caoimhe has been instrumental in establishing successful best practices for clients to ensure their firms can achieve and maintain a consistent state of compliance.
Prior to joining QUMAS, Caoimhe was Executive Program Manager with Smartforce (now Skillsoft), a leading e-learning company. In this role, Caoimhe was responsible for the delivery of Learning Management Systems for many regulated industries, including Financial Services. Caoimhe has a Masters in Political Science from University College Dublin.