Regional Director Shipchandler to Speak at SEC Compliance Outreach in DC

On Thursday, July 27, 2017, FWRO Regional Director Shamoil T. Shipchandler will host a panel at the Commission’s 2017 National Compliance Outreach Program for Broker-Dealers a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices. The panel, also comprised of representatives from FINRA and private and forensic practice, will address current cybersecurity threats impacting broker-dealer firms and the securities markets including mitigation approaches. The panel will also discuss the legal landscape and share effective industry practices.

More information is available at https://www.sec.gov/spotlight/2017-broker-dealer-compliance.