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Title

SEC Regulation Best Interest Update - Zoom Meeting

Speaker(s)/Highlights

Jim Allen, CFA, Kamran Fotouhi, CFA, and Jeri Dresner

Start Time

8/26/2020 4:00 PM

End Time

8/26/2020 5:00 PM

Global Passport Eligible?

Yes

Registration


Please register to receive 1 hr. PL credit. Complimentary

Important: This event is not open to the public. Only local CFA Society South Florida members (e.g. local student or professional members), CFA Society members, CFA Institute members, and CFA Candidates can register.

Member Price

0

Non-Member Price

0

Candidate Price

0

Location Info

Join Zoom Meeting - Details will be included in your confirmation email

Event Description

​Join us to learn about the SEC's Regulation Best Interest (BI) and its impact on registered investment advisers, broker dealers, and other financial firms.

Speakers

jimallen.jpg

Jim Allen, CFA, is Head of Americas Capital Markets Policy Group at the CFA Institute. In this capacity, he has also been involved with the work of the Systemic Risk Council which was formed and funded in part by CFA Institute. Before, he worked with the European Advocacy Committee, responding to policy initiatives of the European Commission and regulatory proposals in France, Germany, Switzerland, and UK. He was rapporteur for the Global Corporate Governance Task Force and helped author “The Corporate Governance of Listed Companies: A Manual for Investors”. Prior, Mr. Allen was a bond analyst at a Texas-based investment bank. He covered derivatives and asset-backed securities as a reporter for the American Banker and published as freelance journalist in Global Finance, Bank Director, Corporate Board Member and Banking Strategies. Mr. Allen holds an MA in journalism and mass communications from the University of Wisconsin-Madison and a BBA in finance from the University of Texas at Austin.

FotouhiK2.jpg

Kamran Fotouhi, CFA is a Managing Director at Capital Forensics, Inc. He brings over 20 years of financial industry experience, focusing on compliance and supervisory related matters for FINRA and major financial institutions. He has extensive experience handling complex matters including product compliance, supervision, financial and operational reviews, clearing firm matters, AML, and advisory program oversight. He provides expertise in conducting internal investigations, client remediations and managing regulatory examinations. 

Prior to joining CFI, he served as a Surveillance Director at FINRA, where he identified and addressed current and emerging risks in conjunction with monitoring the oversight of 265 broker-dealer firms’ compliance with industry rules and regulations. He has also served as Compliance Liaison for First Clearing LLC. (a Division Wells Fargo) where he was the direct point of contact for Chief Compliance Officers and Principals of over 100 introducing broker-dealers regarding compliance and risk matters.

Kamran is a Chartered Financial Analyst, and previously held Series 7, 24, 63 and 65 securities industry licenses.  He serves on the South Florida CFA Society Board of Directors as Advocacy Chair.


Jeri Dresner serves as the Senior Special Counsel for the Office of Compliance Inspections and Examinations (OCIE) National Exam Program in the SEC’s Miami Regional Office.  In this position, she is the legal counsel to the Assistant Directors, Exam Managers, and Examiners of the Investment Adviser, Investment Company, Broker-Dealer, and Transfer Agent branches and is liaison to the Division of Enforcement.  Ms. Dresner serves on OCIE’s Anti-Money Laundering working group.  Ms. Dresner has served as staff attorney in the Division of Enforcement and later served as branch chief, prior to joining the National Exam Program.  She is a member of the California and Florida State Bars, and completed the FINRA Institute-Wharton Certificate Program and is a Certified Regulatory and Compliance Professional.  She is a member of the Association of Certified Anti-Money Laundering Specialists and is CAMS certified. 

Important: This event is not open to the public. Only local CFA Society South Florida members (e.g. local student or professional members), CFA Society members, CFA Institute members, and CFA Candidates can register.



Event Type

Society; Featured

Society Category

Speaker

Education Topic

Standards, Ethics, and Regulations

Event Region

Americas

CE Credit

1

SER Credit

1

Event Terms

 

Location Name

Webinar - Online

All Day Event

 

Recurrence

 

End

8/26/2020 5:00 PM

Date

8/26/2020

Event Manager Email

admin@cfasouthflorida.org

Location Address

 

Location City

 

Event Link

SEC Regulation Best Interest Update - Zoom Meeting

Event Link Leads To New Tab

Yes

Event Short Info

​Join us to learn about the SEC's Regulation Best Interest (BI) and its impact on registered investment advisers, broker dealers, and other financial firms.
Approval Status Approved
 

Attachments

Content Type: MyCFA Calendar
Created at 7/31/2020 3:57 PM by 474
Last modified at 8/3/2020 2:42 PM by 474