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.
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