Diana L. Preston, Managing Director and Associate General Counsel, SIFMA to Speak at KC’s Event on Securities Exchange Act Rule 15a-6 on 10/23/08
New York, NY, July 24, 2008 --(PR.com)-- The Knowledge Congress, the leading producer of regulatory focused teleconferences has announced today that Diana L. Preston, Managing Director and Associate General Counsel of Securities Industry and Financial Markets Association (SIFMA) will speak at the Knowledge Congress’ upcoming teleconference entitled: “Securities Exchange Act Rule 15a-6”. This event is scheduled for October 23, 2008, Thursday, from 1:00 PM - 3:00 PM EDT. (For further details of the event and an updated list of panelists, please visit: http://www.knowledgecongress.org/event_2008_15a-6.html)
Rule 15a-6 was adopted in 1989 to grant foreign banker dealers exemption from registration for certain securities activities within the U.S. Recently, amendments have been proposed to make it more synchronized with the modern times since business entities are now using modern technology in its operations. These companies should watch closely what items are covered by these amendments in preparation for compliance with the new guidelines.
Hear fresh updates from experts as The Knowledge Congress produces as two-hour teleconference and webinar that will discuss the changes made and its impact on your business.
About Diana Preston
Diana L. Preston is Managing Director and Associate General Counsel for the Securities Industry and Financial Markets Association (SIFMA). Her work focuses on international regulatory advocacy in an effort to improve the environment for products and services in cross-border transactions. This work involves targeted research, writing, and outreach to U.S. and foreign government officials on issues relevant to global securities firms.
Prior to joining SIFMA, Ms. Preston was the General Counsel, Executive Vice President, and Secretary of FOLIOfn, Inc. and was responsible for all legal, regulatory, and policy matters for the innovative online securities broker-dealer, proxy voting advisory firm, and financial services technology provider. Ms. Preston’s other private sector experience includes practicing securities and banking law as an assistant general counsel at Capital One Financial Corporation and as an associate with Gibson, Dunn & Crutcher LLP in Washington, DC. In these positions she advised clients on a wide range of securities and banking law issues related to developing new products and trading systems; drafting financial institution networking and other agreements; developing and implementing written supervisory procedures for trading, sales activities, anti-money laundering, and insider trading prevention; drafting public company proxy statement and periodic disclosure reports; analyzing trading activity for potential market manipulation; and counseling related to privacy and other regulatory requirements applicable to brokers-dealers, investment advisors, investment companies, and banks.
In her public sector experience, Ms. Preston worked for three years in the Office of Compliance Inspections and Examinations at the U.S. Securities and Exchange Commission where she was Senior Counsel in the area responsible for self-regulatory organization inspections and special broker-dealer sweep examinations. She began her legal career as an honors attorney at the U.S. Department of the Treasury. In this position, she was assigned to the Office of the Assistant General Counsel for International Affairs and the Mexico Task Force during the 1994-1995 peso crisis, the Office of Foreign Assets Control, the Criminal Tax Division of the Internal Revenue Service, and the U.S. Attorney’s Office for the Eastern District of Virginia in Alexandria.
Ms. Preston earned her J.D. summa cum laude from The American University’s Washington College of Law and her A.B. cum laude in social studies from Harvard College.
About Securities Industry and Financial Markets Association (SIFMA)
The Securities Industry and Financial Markets Association brings together the shared interests of more than 650 securities firms, banks and asset managers. SIFMA's mission is to promote policies and practices that work to expand and perfect markets, foster the development of new products and services and create efficiencies for member firms, while preserving and enhancing the public's trust and confidence in the markets and the industry. SIFMA works to represent its members’ interests locally and globally. It has offices in New York, Washington D.C., and London and its associated firm, the Asia Securities Industry and Financial Markets Association, is based in Hong Kong.
For more information about Diana L. Preston and Securities Industry and Financial Markets Association (SIFMA), please visit: http://www.sifma.org.
About The Knowledge Congress
The Knowledge Congress is an organization that produces teleconferences that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour teleconferences to study the impact of changing regulations.” To contact or to register to an event, please visit: www.knowledgecongress.org.
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Rule 15a-6 was adopted in 1989 to grant foreign banker dealers exemption from registration for certain securities activities within the U.S. Recently, amendments have been proposed to make it more synchronized with the modern times since business entities are now using modern technology in its operations. These companies should watch closely what items are covered by these amendments in preparation for compliance with the new guidelines.
Hear fresh updates from experts as The Knowledge Congress produces as two-hour teleconference and webinar that will discuss the changes made and its impact on your business.
About Diana Preston
Diana L. Preston is Managing Director and Associate General Counsel for the Securities Industry and Financial Markets Association (SIFMA). Her work focuses on international regulatory advocacy in an effort to improve the environment for products and services in cross-border transactions. This work involves targeted research, writing, and outreach to U.S. and foreign government officials on issues relevant to global securities firms.
Prior to joining SIFMA, Ms. Preston was the General Counsel, Executive Vice President, and Secretary of FOLIOfn, Inc. and was responsible for all legal, regulatory, and policy matters for the innovative online securities broker-dealer, proxy voting advisory firm, and financial services technology provider. Ms. Preston’s other private sector experience includes practicing securities and banking law as an assistant general counsel at Capital One Financial Corporation and as an associate with Gibson, Dunn & Crutcher LLP in Washington, DC. In these positions she advised clients on a wide range of securities and banking law issues related to developing new products and trading systems; drafting financial institution networking and other agreements; developing and implementing written supervisory procedures for trading, sales activities, anti-money laundering, and insider trading prevention; drafting public company proxy statement and periodic disclosure reports; analyzing trading activity for potential market manipulation; and counseling related to privacy and other regulatory requirements applicable to brokers-dealers, investment advisors, investment companies, and banks.
In her public sector experience, Ms. Preston worked for three years in the Office of Compliance Inspections and Examinations at the U.S. Securities and Exchange Commission where she was Senior Counsel in the area responsible for self-regulatory organization inspections and special broker-dealer sweep examinations. She began her legal career as an honors attorney at the U.S. Department of the Treasury. In this position, she was assigned to the Office of the Assistant General Counsel for International Affairs and the Mexico Task Force during the 1994-1995 peso crisis, the Office of Foreign Assets Control, the Criminal Tax Division of the Internal Revenue Service, and the U.S. Attorney’s Office for the Eastern District of Virginia in Alexandria.
Ms. Preston earned her J.D. summa cum laude from The American University’s Washington College of Law and her A.B. cum laude in social studies from Harvard College.
About Securities Industry and Financial Markets Association (SIFMA)
The Securities Industry and Financial Markets Association brings together the shared interests of more than 650 securities firms, banks and asset managers. SIFMA's mission is to promote policies and practices that work to expand and perfect markets, foster the development of new products and services and create efficiencies for member firms, while preserving and enhancing the public's trust and confidence in the markets and the industry. SIFMA works to represent its members’ interests locally and globally. It has offices in New York, Washington D.C., and London and its associated firm, the Asia Securities Industry and Financial Markets Association, is based in Hong Kong.
For more information about Diana L. Preston and Securities Industry and Financial Markets Association (SIFMA), please visit: http://www.sifma.org.
About The Knowledge Congress
The Knowledge Congress is an organization that produces teleconferences that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour teleconferences to study the impact of changing regulations.” To contact or to register to an event, please visit: www.knowledgecongress.org.
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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
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