Join us for an exclusive inside look at the evolving world of broker-dealers. As regulatory expectations intensify and technology continues to reshape the industry, now is the time to deepen your understanding of the opportunities, challenges and risks facing broker-dealers today.
This live, interactive symposium will bring together Chief Compliance Officers, FINOPs, operations leaders, attorneys, technology/AI specialists, former regulators and industry experts. Attendees will gain practical insights into emerging regulatory trends, compliance best practices and the technological advancements defining the future of the broker-dealer landscape.
Key Topics:
- Self-Clearing Broker-Dealer Issues and Operational Best Practices
- Cybersecurity and AI Trends
- Regulatory and Other Industry Hot Topics
Who Should Attend:
Broker-dealer CEOs, CFOs, CCOs, COOs, CTOs, treasurers, controllers, registered investment advisers (RIAs), attorneys, prime brokers, risk management teams, operations mangers, fintech partners and other service providers.
Moderator:
Stephen Murphy, Managing Director, Integrated Compliance Consulting
Featured Speakers:
Jay Gettenberg, CEO & Managing Director, ACI
John Paul DeVito, Director of Sales and Corporate Development, InteliClear
Dave Feldman, Founder & CEO, Greenboard
Elizabeth Kettler, Director – Accounting & Reporting Advisory, STOUT
Jeff Levine, COO, Mesirow Financial
John Manganiello, Managing Partner, Accelerate Partners
John Nave, Managing Director Co-Head of Compliance Services, Softek
PKF O’Connor Davies
Thomas DeMayo, Partner – Cybersecurity and Privacy Advisory
Mike Hayes, CPA, Partner – Financial Services Practice Leader
Patrick Moran, CPA, Partner – Financial Services
Darryl Wegner, Managing Director – Forensic, Litigation and Valuation
Hosts:
PKF O’Connor Davies
Victor Peña, CPA, Partner – Financial Services, Broker-Dealer Practice Leader
Don Melody, CPA, Partner – Financial Services, Former SEC and PCAOB Regulator
Rachel DiDio, CPA, Partner – Financial Services, Former PCAOB Regulator
CPE Credits:
3 CPE credit in Specialized Knowledge
No prerequisites or advanced planning required
Program Level: Basic
Delivery Method: Group live
For information regarding complaint and/or program cancellation policies, please contact l&dsupport@pkfod.com.
PKF O’Connor Davies is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State Boards of Accountancy have the final authority on the acceptance of individual courses for CPE Credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.