John Ivan, Managing Director, Capital Forensics, Inc. to Speak at the Knowledge Group’s Event
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that John Ivan, Managing Director, Capital Forensics, Inc. will speak at the Knowledge Group’s webcast entitled: “Trends, Developments and Updates in the Broker-Dealer Regulation: What to Expect in 2019 and Beyond Live Webcast.”
New York, NY, January 31, 2019 --(PR.com)-- This event is scheduled for Friday, February 22, 2019 at 12:00 pm - 2:00 pm (ET).
For further details, please visit: https://www.theknowledgegroup.org/webcasts/updates-in-the-broker-dealer-regulation/
About John Ivan
John Ivan is a highly respected securities industry attorney and compliance professional who has led both compliance and legal departments for major financial institutions, with a focus on wealth management, brokerage and advisory issues.
Most recently, he served as Chief Compliance Officer for Raymond James & Associates, Inc., the full-service retail and capital markets broker-dealer based in St Petersburg, Florida, and also was head of Compliance for all of Raymond James’ retail and dual registrant businesses. Prior to that, he was Managing Director at Bank of America Merrill Lynch covering Compliance for its Global Wealth and Retirement Services products and services business. Previously, he was General Counsel and Chief Compliance Officer for Janney Montgomery Scott LLC, in Philadelphia.
John also served in senior compliance and legal roles at Goldman Sachs in New York, and at Wells Fargo Advisors’ predecessor firms in Richmond, Virginia. He began his career at the United States Securities and Exchange Commission. He is a graduate of University of Virginia and University of Richmond Law School.
About Capital Forensics, Inc.
For more than 26 years, CFI has been providing a range of services for financial services industry clients involving data analyses, compliance and regulatory consulting, and litigation support services, These firms include broker-dealers, banks, insurance companies and RIAs, as well as Fortune 500 companies and legal counsel. CFI also provides damages analyses and forensic accounting services.
CFI has established a reputation for working closely with clients to achieve a successful resolution of internal and external regulatory reviews, provide detailed compliance consulting and remediation services, expert testimony in arbitrations and Regulatory inquiries, and litigation support. Their experts include former Regulators, Chief Compliance Officers, Senior Legal Counselors, Retail and Institutional Executives, Trust Company Officers and Product Managers and Leaders.
Event Synopsis:
Broker-dealers are faced with a robust regulatory environment where regulatory focus is constantly changing and new rules are implemented. Practitioners must stay abreast of the issues and new developments to improve compliance and to mitigate unwanted risk.
Listen as a panel of distinguished professionals organized by The Knowledge Group provide the audience with the latest and emerging issues in broker-dealer regulation. Speakers, among other things, will discuss opportunities and challenges, provide practice tips and make predictions on what to expect in the years ahead.
Key issues that will be covered in this course are:
New and Pending Rule Changes
High Risk Brokers and Supervisory Issues
Senior Investors
Suitability
Best Execution and Fixed Income Mark-up
Regulation Best Interest
Issues Involving Dual Registrants
Cybersecurity
Exam Priorities
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group 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 for an event, please visit: http://theknowledgegroup.org/
For further details, please visit: https://www.theknowledgegroup.org/webcasts/updates-in-the-broker-dealer-regulation/
About John Ivan
John Ivan is a highly respected securities industry attorney and compliance professional who has led both compliance and legal departments for major financial institutions, with a focus on wealth management, brokerage and advisory issues.
Most recently, he served as Chief Compliance Officer for Raymond James & Associates, Inc., the full-service retail and capital markets broker-dealer based in St Petersburg, Florida, and also was head of Compliance for all of Raymond James’ retail and dual registrant businesses. Prior to that, he was Managing Director at Bank of America Merrill Lynch covering Compliance for its Global Wealth and Retirement Services products and services business. Previously, he was General Counsel and Chief Compliance Officer for Janney Montgomery Scott LLC, in Philadelphia.
John also served in senior compliance and legal roles at Goldman Sachs in New York, and at Wells Fargo Advisors’ predecessor firms in Richmond, Virginia. He began his career at the United States Securities and Exchange Commission. He is a graduate of University of Virginia and University of Richmond Law School.
About Capital Forensics, Inc.
For more than 26 years, CFI has been providing a range of services for financial services industry clients involving data analyses, compliance and regulatory consulting, and litigation support services, These firms include broker-dealers, banks, insurance companies and RIAs, as well as Fortune 500 companies and legal counsel. CFI also provides damages analyses and forensic accounting services.
CFI has established a reputation for working closely with clients to achieve a successful resolution of internal and external regulatory reviews, provide detailed compliance consulting and remediation services, expert testimony in arbitrations and Regulatory inquiries, and litigation support. Their experts include former Regulators, Chief Compliance Officers, Senior Legal Counselors, Retail and Institutional Executives, Trust Company Officers and Product Managers and Leaders.
Event Synopsis:
Broker-dealers are faced with a robust regulatory environment where regulatory focus is constantly changing and new rules are implemented. Practitioners must stay abreast of the issues and new developments to improve compliance and to mitigate unwanted risk.
Listen as a panel of distinguished professionals organized by The Knowledge Group provide the audience with the latest and emerging issues in broker-dealer regulation. Speakers, among other things, will discuss opportunities and challenges, provide practice tips and make predictions on what to expect in the years ahead.
Key issues that will be covered in this course are:
New and Pending Rule Changes
High Risk Brokers and Supervisory Issues
Senior Investors
Suitability
Best Execution and Fixed Income Mark-up
Regulation Best Interest
Issues Involving Dual Registrants
Cybersecurity
Exam Priorities
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group 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 for an event, please visit: http://theknowledgegroup.org/
Contact
The Knowledge Group
Thomas LaPointe, Jr., Executive Director
646-844-0200
www.theknowledgegroup.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Thomas LaPointe, Jr., Executive Director
646-844-0200
www.theknowledgegroup.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Contact
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