NEBDIAA

The New England Broker/Dealer and Investment Adviser Association, Inc.

Welcome

The New England Broker Dealer Investment Adviser Association (“NEBDIAA”) provides its members a trusted forum to network and share regulatory and financial related best practices and information among legal and compliance professionals.

JOIN US!

Attend four seminars per year and be a part of the community of compliance professionals.

NEBDIAA meetings take place quarterly at the Federal Reserve Plaza, 600 Atlantic Ave., Boston, MA. Meetings are from 12pm-2pm and include lunch.

Annual Membership Dues: $125 per person, Guest Fee (must be sponsored by a member): $35

Upcoming Meetings

July 23, 2019: NEBDIAA Quarterly Meeting

12:00 – 2:00
Federal Reserve Bank of Boston
New England Room
600 Atlantic Ave
Boston MA

Agenda to Follow


April 8th, 2019: NEBDIAA Quarterly Meeting

Networking luncheon from 12:00 to 12:30pm.
Followed by guest speakers Don McElligott, VP Compliance Supervision, Global Relay, David M. Hintz, Senior Vice President, Global Trading Analytics, LLC, EJ Yerzak, Director of Cyber IT Services, CSS Ascendant, Michael Farrell, Consultant, Cyber Services, CSS Ascendant, and Adam Pollet, Counsel, Eversheds Sutherland

Compliance Testing
Electronic messaging review – best practices and trends, as discussed by Don McElligott, VP Compliance Supervision, Global Relay
Best Execution testing, as discussed by David M. Hintz, Senior Vice President, Global Trading Analytics, LLC
Cybersecurity – learnings from recent testing at John Hancock, as well as tips and strategies presented by EJ Yerzak, Director of Cyber IT Services, CSS Ascendant and Michael Farrell, Consultant, Cyber Services, CSS Ascendant

FINRA and SEC 2019 Exam Priorities
Adam Pollet, Counsel, Eversheds Sutherland, will join us for a discussion of the 2019 examination priorities.


January 24, 2019: NEBDIAA Quarterly Meeting

12:00- 2:00
Federal Reserve Bank of Boston
New England Room
600 Atlantic Ave
Boston MA

Networking luncheon from 12:00 to 12:30pm.
Followed by guest speakers Anthony Drenzek, Special Regulatory Counsel, Proskauer, and Jeanette Turner, Chief Regulatory Officer, Compliance Solutions Strategies, regarding ADV amendment common issues and tips. EJ Yerzak, Director of Cyber IT Services, Compliance Solutions Strategies, will also share information regarding cryptocurrencies and digital assets.

In addition to the presentation, there will be a discussion on current compliance topics, including the recently published 2019 OCIE examination priorities, as well as recent examination trends and enforcement actions.


 

NEBDIAA Members can register for the program by emailing NEBDIAA@ascendantcompliance.com.

 

NEBDIAA Board of Directors:

Kara Brown, Counsel – Sidley Austin LLP
Michele Riggs, Senior Compliance Administrator – Adviser Compliance LLC
Tanya Kerrigan, General Counsel & CCO – Boston Advisors, LLC
EJ Yerzak, Partner – Ascendant
Peter Guarino,
Mike Timmermans, Assistant CCO – Longfellow Investment Management
David Vallon, Senior VP, CCO – Natixis Global Asset Management
Larry Kaplan, Managing Director – CBIZ Tofias
Joshua Cook, AVP & Senior Counsel – John Hancock

With questions or for more information,
please email NEBDIAA@ascendantcompliance.com,
visit our LinkedIn group, or call 860-435-2255.