RegistrationCenter

30 Minutes on KYC and Beyond

Webinar Series

Join Bloomberg for 30 Minutes on KYC and Beyond– a series of webinars focused on addressing the pain points of managing and securing entity data originating from the Know Your Customer (KYC) process followed by actionable insights.

About the series
The series features conversations with a variety of different industry insiders and Bloomberg specialists who will address the pain points of managing and securing entity data originating from the KYC process. Each webinar includes actionable insights to help you move into a less painful future. Sign up for as many sessions as you like– all from the same registration page.

 

06/20/2017 11:00 AM EDT

Mid-year Regulatory Outlook

From the US Administration's first 100 Days, the election in France, and the looming MiFID II deadline what does the second half of 2017 have in store for the financial markets and investment firms in particular?

Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

07/11/2017 11:30 AM EDT

Healthy Cyber Behaviors

We all know employees are the weakest link in cyber defense and the best way to guard against unhealthy behavior is through constant training. Join us as we discuss behavioral dos and don'ts and creative ideas for approaching employee training.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

08/08/2017 11:00 AM EDT

Top Technology

A rundown of the Top 10 technologies no legal or compliance professional can do without. From facial recognition software to biometric authentication join us as we examine trends in tech.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

09/12/2017 11:00 AM EDT

Safe and Sound Practices for Investment Advisors (Part I)

Join our panel of legal and compliance professionals as they discuss compliance program best practice. Exam prep, enhancing your current program across legal, compliance, HR and investing policies and procedures. Receive actionable advice from our panel of experts.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

09/19/2017 11:00 AM EDT

Safe and Sound Practices for Investment Advisors (Part II)

An Allocator and consultant view. Join our panel of allocators and consultants for an inside view of what they consider to be essential behaviors for a successful ops/risk due diligence review so you can maximize your chance for winning that next mandate.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

10/03/2017 11:00 AM EDT

Margin Requirement expansion under FINRA Rule 4210

Still struggling with FINRA 4210 preparation and compliance? Not quite finished preparing for the December 2017 deadline? Join us as we discuss the steps you can take today to get a handle on what these changes may mean for your business and what you may need to do to comply.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

10/10/2017 11:00 AM EDT

Bank and Broker KYC

The buyside and sellside agree, the process is painful. Join us for insight into the inner workings of a Bank/Broker KYC process. Listen for our panel of experts for steps to take to minimize the delay and take help take the pain out of the process.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

11/07/2017 11:00 AM EDT

Outstanding issues in MiFID II compliance

The deadline is coming, the deadline is coming. Are you ready?

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

11/14/2017 11:00 AM EDT

What is your onboarding process costing you?

What is your onboarding process costing you? A look at maximizing efficiences so you can be ready to trade.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

12/05/2017 11:00 AM EDT

2017 a retrospective in rule making

2017 a retrospective in rule making- the year that was.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

Access prior webinars

 

02/07/2017 - Available On Demand

White Collar Crime: From Insider Trading to Money Laundering -- what every Investment Adviser needs to know

Part I: Insider Trading

The December 6, 2016 Supreme Court ruling eased the government’s burden of proving insider trading cases. Not surprisingly the SEC announced shortly thereafter that most insider trading cases emanate from Whistleblower tips. The SEC Enforcement division is consequently bringing actions against firms whose policies, documents and procedures hinder whistleblowers from stepping forward.

What do asset managers, hedge funds, fund of hedge funds and family offices need to know? What are the key steps a compliance officer can take to protect their firm and themselves? Find out answers to these questions and more.

Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

Dan Margolis

Daniel Margolis is the General Counsel of Ellington Management Group, L.L.C., a hedge fund based in Old Greenwich, CT with over $5.5 billion in assets under management. Prior to joining Ellington, Mr. Margolis was a Partner at Pillsbury, Winthrop, Shaw, Pittman LLP and before that was a Junior Partner at Wilmer, Cutler, Pickering, Hale and Dorr LLP. In both positions, Mr. Margolis represented corporations and individuals, including financial services organizations, in criminal and regulatory investigations and in complex civil litigation. From 2000 to 2004, Mr. Margolis served as an Assistant United States Attorney in the Southern District of New York where he received information from whistleblowers and prosecuted a variety of white collar crimes including securities fraud, investment fraud, bank fraud and money laundering. He began his career as a litigation associate at Cravath, Swaine & Moore after graduating cum laude from New York University School of Law.

 

02/21/2017 - Available On Demand

White Collar Crime: From Insider Trading to Money Laundering -- what every Investment Adviser needs to know

Part II: Anti-Money Laundering

The Financial Action Task Force, an inter-governmental body developing and promoting policies to combat money laundering and terrorist financing, ranks countries on their ability to combat money laundering and terrorist financing—the US ranked among the lowest in five of their 51 categories. Not surprisingly, federal authorities have set their sights on enhancing the regulatory framework for comprehensive disclosure of beneficial ownership of entities and greater oversight of financial intermediaries.

How are firms enhancing technology and practices to address anti-corruption legislation? Get answers to this question and more.

Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

Noah Bishoff

Noah Bishoff is a Director at Standard Chartered Bank, and manages the Legal & Regulatory Response Group within the Financial Crime Compliance Investigations Unit. In addition to complying with subpoenas and other legal and regulatory requests on behalf of the Bank, Noah's team conducts Anti-Money Laundering / Counter-Terrorism Financing investigations on cases arising from subpoenas, USA PATRIOT Act 314(a) requests, sanctions circumvention attempts, and other legal, regulatory, and sanctions-related items. Prior to joining Standard Chartered Bank in 2014, Noah was in-house counsel for a start-up consumer products company. Noah also spent over six years as a commercial litigator at a major New York law firm, where his practice focused heavily on commercial disputes and white collar investigations, including AML/CFT and FCPA compliance issues. Noah is a graduate of Columbia Law School and the University of California, Los Angeles.

Aaron Mendelsohn

Aaron Mendelsohn is a Senior Manager at Ernst & Young in the Fraud Investigation & Dispute Services (FIDS) practice in the New York, NY office. Aaron has more than 15 years of fraud investigation and litigation experience, including regulating securities industry violations at the Financial Industry Regulatory Authority, prosecuting white collar criminal matters at the U.S. Department of Justice, and investigating financial frauds at major international law firms. In these positions, Aaron has managed, litigated, and resolved numerous complex financial investigations while working with the U.S. Securities and Exchange Commission, the Commodity Futures Trading Commission, the Office of the Comptroller of the Currency, and the Financial Crimes Enforcement Network. Aaron has also worked with law enforcement agents from the Federal Bureau of Investigation, the Internal Revenue Service, the U.S. Department of Homeland Security, and other federal and state agencies. Prior to joining EY FIDS, Aaron spent more than two years as a Senior Counsel in FINRA's Enforcement Department. At FINRA, Aaron investigated securities industry violations committed by broker-dealers and registered representatives, including sales practice and trading-related charges. Aaron served as co-counsel in multiple disciplinary proceedings against broker-dealers and registered representatives for violating securities industry rules, including anti-money laundering, fraud, suitability, and supervisory charges. Aaron also served as an Assistant U.S. Attorney in New Jersey and Washington, D.C. for almost ten years. As an Assistant U.S. Attorney, Aaron investigated and prosecuted federal economic crimes, including bankruptcy, corporate, cyber, mortgage, securities, and tax fraud. He obtained guilty verdicts in multiple jury trials involving money laundering, bank and tax fraud. Aaron also investigated and prosecuted Foreign Corrupt Practices Act violations with the SEC and the Department of Justice's Criminal Division, including bribery and kick-back schemes in Africa, Asia, and Latin America. Additionally, Aaron investigated and prosecuted Bank Secrecy Act and money laundering violations, with the OCC and FinCEN, committed by financial institutions and money transmitting businesses, including virtual currency exchanges. Throughout his career, Aaron has served as a speaker and panelist on regulatory and compliance issues, including cybersecurity, the FCPA, and fraud investigations. Aaron has also received numerous awards and commendations, including FINRA's Premier Achievement Award for “exemplary work and dedicated service” to FINRA, for serving as co-counsel in a disciplinary proceeding involving SEC Rule 10b-5 fraud charges and suitability violations, and from the U.S. Department of Justice, the U.S. Secret Service, the Internal Revenue Service, and the International Association of Financial Crimes Investigators, New York Chapter.

 

03/07/2017 - Available On Demand

Opening and Maintaining Trading Accounts: How Not to Annoy and Alienate your Clients

Sometimes it's hard to ask nicely. In an era when regulatory compliance means asking for and collecting more information from your clients, it's sometimes all in how you ask. Obtain tips to help you get what you need without annoying or alienating your clients.

Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

03/14/2017 - Available On Demand

MiFID II for US Managers: What You Need to Know

Think MiFID II legislation doesn't apply to you? Think again. MiFID II De-mystified and explained, a US perspective.

Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

 

04/04/2017 - Available On Demand

Best Execution: More Than Just Commission Dollars

Best Execution is NOT all about the numbers. What are the key qualitative drivers of a Best Execution Analysis? Tools for legal, compliance, risk and trading professionals in building best execution policies and procedures. Listen in sell-side, this is the barometer by which you may be judged!

Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

Joseph McGill

Joseph McGill is responsible for all of Lord Abbett's compliance advice, monitoring, and testing in accordance with relevant U.S. federal and state regulatory agencies. Mr. McGill joined Lord Abbett in 2014 as the Chief Compliance Officer, and was named Partner in 2015. Prior to joining the firm, he was Managing Director and Chief Compliance Officer at UBS Global Asset Management; Vice President and Assistant General Counsel at J.P. Morgan Fleming Asset Management; Vice President at Goldman Sachs Asset Management; Vice President, Chief Compliance Officer and Counsel at J. & W. Seligman & Co. Incorporated; and Assistant General Counsel at Prudential Securities Incorporated. He started his career in the financial services industry in 1986. Mr. McGill is a speaker and presenter at various compliance forums, including the Securities and Exchange Commission's (SEC) Outreach Program. Mr. McGill established the Investment Management Regulatory Group, and he also actively participates on several boards and committees, including the Board of Directors National Society of Compliance Professionals (NSCP); Investment Adviser Committee; Investment Company Institute Compliance Committee; and the Investment Adviser Institute Compliance Committee. Mr. McGill earned a BA from Manhattan College and a JD from New York Law School.

Michael Butowsky

Michael has more than 25 years of experience providing securities regulatory and transactional legal advice to a broad spectrum of financial services industry participants, including investment advisers, private investment funds, broker-dealers, registered investment companies, and others. His practice focuses principally on: investment advisers (including registration, disclosure, and trading issues); the formation of and ongoing regulation of private investment funds (such as hedge funds, private equity funds, and venture capital funds); advising broker-dealers with respect to soft dollar arrangements; and advising financial services industry participants and operating companies with respect to investment company, investment adviser, and broker-dealer "status" issues. Michael's investment management work includes advising registered and unregistered investment advisers concerning: SEC registration and exemptions (including issues under Dodd-Frank and Form ADV disclosure); compliance matters such as best execution and soft dollars, trading issues (e.g., principal transactions, trade allocations, trade sequencing, and directed brokerage), insider trading, conflicts of interest, custody arrangements, performance advertising, and valuation; SEC examinations; and annual compliance reviews. He also advises with respect to the organization of investment advisers (including joint ventures) and purchases and sales of investment advisers, including the relevant assignment and consent/proxy issues. Michael works with clients on all legal and regulatory aspects of private investment fund formation, marketing, and operation. He has worked on a broad variety of structures, investment objectives, and strategies, including master-feeder and parallel funds, funds of funds, long/short, arbitrage, leveraged buyout, real estate, global, opportunity, and distressed debt, as well as sectors (e.g., technology) and countries (e.g., emerging markets, Brazil, China, and India). Michael advises on all aspects of securities law compliance, including laws relating to the offering and transfer of interests in funds, and portfolio transactions. He has guided fund clients with respect to issues relating to portfolio liquidity including the implementation of side pockets, gates, and SPVs. Michael's work with broker-dealers includes advice concerning the structuring of soft dollar and other brokerage arrangements, Section 28(e) compliance, CSAs, capital introduction programs, and "hedge fund hotels." Michael provides advice on investment company "status" issues for all types of entities, including operating companies, private investment funds, securitization vehicles, finance subsidiaries, employee benefit plans, non-U.S. banks and insurance companies, and real estate investment vehicles. He also provides "status" guidance for clients seeking to determine if their activities require registration as investment advisers and/or broker-dealers. Michael also advises service providers to investment advisers and private investment funds (e.g., concerning hedge fund platforms, securities lending programs, commitment and redemption financing programs, and potential related liabilities). Michael also has provided organizational and ongoing advice to registered investment companies and business development companies, their boards of directors, and their service providers. He has written and spoken extensively on financial services industry topics.

 

04/18/2017 - Available On Demand

Anatomy of a Separately Managed Account

From funds of one and SMA platforms to simple trading authority designations- demystifying Managed Account structures, operations and service providers.

Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

Julie DeMatteo

Julie DeMatteo is currently Managing Director of the Asset Management division of R.J. O'Brien and oversight of the OASIS managed account platform. She is responsible for overseeing the activities of the firm's commodity pool operator and broker dealer. She primarily focuses on business development for the division working with both investors and managers to provide alternative investment solutions. Prior to joining R.J. O'Brien, she held various legal and business development positions for banks and asset managers.

Allyson Burg

Allyson Burg is an Attorney Compliance Officer at Stone Harbor Investment Partners and has 10 years of industry experience. Prior to joining Stone Harbor, Allyson served as an Associate in Financial Services Regulatory and Enforcement at Mayer Brown LLP. Allyson is a member of the New York State Bar Association. She attained a BA in Business Administration from the University of Florida and a J.D. from the University of Pennsylvania.

 

05/02/2017 - Available On Demand

Brexit and Potential for London Brain Drain

Join us as Jones Day's John Ahern presents the results of a London panel discussion between the former Chancellor of the Exchequer, former Sercretary of State for Business Innovation and Skills, Chief Executive of the Financial Markets Law Committee, Financial Commentator for the London Evening Standard and former Member of Parliment, and current Chair of the Office of Tax Simplification. The panel discussion chaired by Ahern reviewed the prospects for London as a global financial market in the wake of Brexit and implications for global market makers, trading liquidity and access to capital.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

John Ahern

John Ahearn, Partner, Jones Day John Ahern is a leader in U.K. financial services law and regulation and has extensive experience in the markets in the U.K. and Europe. He advises on a range of regulatory issues in the wholesale and private banking sector where he has developed considerable knowledge over many years in private practice and as in-house counsel for eight years at a global investment bank. John advises multilateral trading facilities, broker-dealers, and banks on trading, clearing, and settlement as well as custody of securities (both physical and dematerialized). He has a particular focus on regulatory capital and advises a number of banks and other authorized firms on the requirements and implications of the prudential regime.John routinely assists clients in navigating the regulatory system to ensure compliance with regulatory obligations and to document a range of customer relationships, including the preparation of client agreements, terms of business inter group arrangements, and compliance documentation.John has spent his entire career involved with the regulation of banking and financial services in the U.K., Europe, and internationally. He has a deep understanding of the regulatory framework for the financial markets in the U.K. and Europe. He is cited as a leading practitioner in the Legal 500 and Chambers directories.John is a frequent speaker at seminars and conferences and has written a number of articles for well-respected publications on regulation in the financial services sector.

 

05/23/2017 11:00 AM EDT

What is an LEI? Legal Entity Identifiers demystified.

Join Bloomberg experts and a special guest speaker from the Global Legal Entity Identifier Foundation (GLEIF) as they discuss the Legal Entity Identifier (LEI) and the global push for LEI usage. Attendees will receive actionable insights about obtaining and maintaining LEIs and actions you can take today to prepare.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a business strategist for Regulatory Compliance Technology at Bloomberg. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

Clare Rowley

Clare Rowley is the Head of Business Operations at the Global Legal Entity Identifier Foundation (GLEIF). Prior to working with GLEIF, Ms. Rowley worked at the United States Federal Deposit Insurance Corporation where she led technology initiatives improving bank resolution programs and contributed to research on subprime mortgages..

Steve Meizanis

Steven Meizanis is a senior manager responsible for the Entity Management and Symbology teams within the Global Data division of Bloomberg. Bloomberg's Symbology initiative provides the marketplace access to Bloomberg's identifiers and symbols across all asset classes with no commercial terms or restrictions on use. More recently, Steven also led the firm’s efforts to become an accredited issuer of Legal Entity Identifiers (LEIs) and actively manages this project globally. Prior to his current role, Steven was part of the Bloomberg Data License team, responsible for enhancing entity level and fixed income data products. He joined Bloomberg in 1994 working in the Data division, with a focus on the Fixed Income markets. He has managed the firm’s Quality Assurance teams and several help desks including Data License Support and Global Data Analytics (GDA). Steven represents Bloomberg on the Global Legal Entity Identifier Foundation's (GLEIF) Vendor Management committee. He is also a member of the Financial Industry Services Division (FISD) and the Securities Industry and Financial Markets Association (SIFMA). Steven is an expert on Entity content and Fixed Income data.

 

06/06/2017 10:00 AM EDT

Misuse and Abuse

Financial crimes come in all shapes and sizes. From corrupt government financing, terrorist financing, bribery and money laundering all roads seem to start with knowing who you are doing business with.

Join Bloomberg experts and a special guest speaker as they examine the unintended consequences of skipping this crucial step. From rules and regulations to fines and shattered reputations we'll discuss the risk of getting it wrong and steps legal and compliance officers can take today to protect yourself and your firm.

ABOUT 30 MINUTES ON KYC AND BEYOND SERIES

A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.

Featured Speakers

Lisa Roitman

Lisa is a marketing a business strategist for Bloomberg Enterprise Solutions with a focus on regulatory compliance technology. Previously she served as General Counsel and Chief Compliance Officer for Litespeed Management LLC and has held multiple business, legal and compliance positions both on the buy-side and on the sell-side throughout her career.

To access webinars from 2016, click here

* First Name
* Last Name
* Corporate Email
* Phone Number
* Company Name
* Job Role
* City
* State/Province/Canton (If your state does not appear, please select "None Of The Above" in the dropdown)
* Country
* Would you like to be personally contacted by a representative to learn more about the topics and products covered in this webinar?