September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]
On 10/30/2013, CRC conducted its first industry Compliance Roundtable. Hosted by Barry Barbash, Partner at Willkie, Farr and Gallagher LLP, there were over 30 people in attendance.
Panelists and guests included Chief Compliance Officers and Senior Compliance Officers from TD Securities, PNC Capital Markets, Santander, Wells Fargo, Deutsche Bank and Key Capital Markets.
In addition to the impressive Compliance Officer lineup - leadership from technology companies - TradeDynamix and Nasdaq OMX were on-site to contribute to the discussion.
Based on the overall engagement of the attendees and the vibrant interaction, CRC intends to conduct 2-3 additional Compliance Roundtables over the next 6 to 12 months.
Please sign up below to add your name to the Compliance Roundtable list for future invitations: