Diana Bergherr, Managing Director, Business Development Compliance, DLA Compliance to Speak at KC’s Dodd-Frank Act and Minimizing the Cost of Compliance
Diana Bergherr, Managing Director, Business Development Compliance, DLA Compliance to Speak at KC’s Dodd-Frank Act and Minimizing the Cost of Compliance Live Webcast.
New York, NY, October 18, 2012 --(PR.com)-- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Diana Bergherr, Managing Director, Business Development Compliance, DLA Compliance will speak at the Knowledge Congress’ webcast entitled: “Dodd-Frank Act and Minimizing the Cost of Compliance.” This event is scheduled for December 6, 2012 from 12:00pm – 2:00pm (ET).
For further details, please visit:
http://www.knowledgecongress.org/event_2012_Compliance_2012.html
About Diana Bergherr
Diana Bergherr is a Managing Director, Business Development – Compliance, and has over 25 years of experience in the financial services industry in US and Canada and significant cross-border experience. Ms. Bergherr's focus has always been regulatory compliance and developing compliance programs that not only meet stringent regulatory requirements, but also support business initiatives. She has successfully managed compliance turnarounds for registered broker-dealers, investment advisors and Futures Commission Merchants. Ms. Bergherr is licensed in Series 7, 8, 14, 24, 63 & 99.
Prior to joining David Laundau & Associates, Ms. Bergherr built the compliance program for North America that supported over sixteen subsidiaries of the Macquarie Group. During her tenure at Macquarie, in addition to building and staffing the overall compliance function, she held the position of Chief Compliance Officer in the regulated subsidiaries including: registered US broker-dealers, listed funds, registered investment advisors and US Representative Offices of Macquarie Bank Limited. Ms. Bergherr was also the Regulatory Relationship Manager for North America responsible for managing regulatory examinations conducted by: Financial Industry Regulatory Authority (FINRA), the Securities Exchange Commission (SEC), Office of the Comptroller of Currency (OCC), Federal Reserve, National Futures Association (NFA), Chicago Board of Exchange (CBOE), US Department of Agriculture (USDA) and the Department of Labor (DOL). In Canada, Ms. Bergherr worked with provincial & territorial governments, the Ontario Securities Commission (OSC) and the Canadian Securities Administrators (CSA).
Ms. Bergherr is a top tier compliance professional with extensive experience and excellent working relationships with regulators. She has built compliance programs meeting regulatory requirements without sacrificing business directives, and has proven achievements in managing compliance turnarounds.
Ms. Bergherr graduated from CW Post University with a Master of Arts, and from Queens College with a Master of Science & Bachelor of Arts. She received her Lawyer's Assistant Certificate with a specialty in Corporate Law from Adelphi University. In addition, Ms. Bergherr has an extensive history in volunteering in the financial industry and remains an active member of the Continuing Education Development Committee, and previously served on the Securities Industry Association ("SIA") National Committee on Continuing Education (Chair 1999 & 1998; Committee member from 1995 - 1999).
About DLA Compliance
David Landau & Associates, LLC (DLA) is a financial services and real estate advisory firm focused on providing internal audit & forensics, compliance and risk management services. Founded in 2001, DLA’s management is made up of former “Big 4” professionals who lead a dedicated team of professionals in delivering enhanced value-added services to our clients.
Internal Audit & Forensics: DLA's Internal Audit & Forensics practice offers companies Outsourced or Co-sourced Internal Audit, Sarbanes-Oxley (SOX) compliance, forensic accounting and other audit services.
Compliance: DLA offers a full service approach to securities regulatory compliance. Our method has been developed based on our experience, our clients' needs and our ability to navigate a constantly changing regulatory environment. DLA's suite of advisory services enables clients to leverage our expertise and to develop a strong culture of compliance.
Risk Management: DLA's Risk Management practice offers cross-functional and diverse industry experience, leveraging DLA's accounting, process, policy and control expertise to provide you with leading solutions. Our services include process, systems, technology and due diligence. For more information, please visit: http://www.dlallc.com/
Event Synopsis:
Since its introduction, finance institutions have been struggling with implementation and compliance issues surrounding the Dodd-Frank Act. The only way to prevent costly sanctions is to ensure that your policies conform to the anticipated compliance requirements. This Live Webcast will teach you how to comply while minimizing costs. In addition to regulatory updates, our panel of key experts will also offer best practices.
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Congress was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: www.knowledgecongress.org
For further details, please visit:
http://www.knowledgecongress.org/event_2012_Compliance_2012.html
About Diana Bergherr
Diana Bergherr is a Managing Director, Business Development – Compliance, and has over 25 years of experience in the financial services industry in US and Canada and significant cross-border experience. Ms. Bergherr's focus has always been regulatory compliance and developing compliance programs that not only meet stringent regulatory requirements, but also support business initiatives. She has successfully managed compliance turnarounds for registered broker-dealers, investment advisors and Futures Commission Merchants. Ms. Bergherr is licensed in Series 7, 8, 14, 24, 63 & 99.
Prior to joining David Laundau & Associates, Ms. Bergherr built the compliance program for North America that supported over sixteen subsidiaries of the Macquarie Group. During her tenure at Macquarie, in addition to building and staffing the overall compliance function, she held the position of Chief Compliance Officer in the regulated subsidiaries including: registered US broker-dealers, listed funds, registered investment advisors and US Representative Offices of Macquarie Bank Limited. Ms. Bergherr was also the Regulatory Relationship Manager for North America responsible for managing regulatory examinations conducted by: Financial Industry Regulatory Authority (FINRA), the Securities Exchange Commission (SEC), Office of the Comptroller of Currency (OCC), Federal Reserve, National Futures Association (NFA), Chicago Board of Exchange (CBOE), US Department of Agriculture (USDA) and the Department of Labor (DOL). In Canada, Ms. Bergherr worked with provincial & territorial governments, the Ontario Securities Commission (OSC) and the Canadian Securities Administrators (CSA).
Ms. Bergherr is a top tier compliance professional with extensive experience and excellent working relationships with regulators. She has built compliance programs meeting regulatory requirements without sacrificing business directives, and has proven achievements in managing compliance turnarounds.
Ms. Bergherr graduated from CW Post University with a Master of Arts, and from Queens College with a Master of Science & Bachelor of Arts. She received her Lawyer's Assistant Certificate with a specialty in Corporate Law from Adelphi University. In addition, Ms. Bergherr has an extensive history in volunteering in the financial industry and remains an active member of the Continuing Education Development Committee, and previously served on the Securities Industry Association ("SIA") National Committee on Continuing Education (Chair 1999 & 1998; Committee member from 1995 - 1999).
About DLA Compliance
David Landau & Associates, LLC (DLA) is a financial services and real estate advisory firm focused on providing internal audit & forensics, compliance and risk management services. Founded in 2001, DLA’s management is made up of former “Big 4” professionals who lead a dedicated team of professionals in delivering enhanced value-added services to our clients.
Internal Audit & Forensics: DLA's Internal Audit & Forensics practice offers companies Outsourced or Co-sourced Internal Audit, Sarbanes-Oxley (SOX) compliance, forensic accounting and other audit services.
Compliance: DLA offers a full service approach to securities regulatory compliance. Our method has been developed based on our experience, our clients' needs and our ability to navigate a constantly changing regulatory environment. DLA's suite of advisory services enables clients to leverage our expertise and to develop a strong culture of compliance.
Risk Management: DLA's Risk Management practice offers cross-functional and diverse industry experience, leveraging DLA's accounting, process, policy and control expertise to provide you with leading solutions. Our services include process, systems, technology and due diligence. For more information, please visit: http://www.dlallc.com/
Event Synopsis:
Since its introduction, finance institutions have been struggling with implementation and compliance issues surrounding the Dodd-Frank Act. The only way to prevent costly sanctions is to ensure that your policies conform to the anticipated compliance requirements. This Live Webcast will teach you how to comply while minimizing costs. In addition to regulatory updates, our panel of key experts will also offer best practices.
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Congress was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: www.knowledgecongress.org
Contact
The Knowledge Congress
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Contact
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