April 8th, 2019: NEBDIAA Quarterly Meeting

Updated: Sep 4, 2019



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.

NEBDIAA

Meets Quarterly:

Federal Reserve Bank of Boston
New England Room
600 Atlantic Ave
Boston MA

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