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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.

 

02/07/2017 11:00 AM EST

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 11:00 AM EST

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 11:00 AM EST

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 11:00 AM EDT

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 11:00 AM EDT

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.

 

04/18/2017 11:00 AM EDT

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.

 

05/02/2017 11:00 AM EDT

Safe and Sound Practices for Investment Advisers

Part I: Cyber Security, Training Your Weakest Link

In part one of this two part series on safe and sound practices for Investment Advisers the focus will be on protecting your enterprise data by protecting and training the owners of your most valuable data...your employees.

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.

 

05/09/2017 11:00 AM EDT

Safe and Sound Practices for Investment Advisers

Part II - An Allocators View

In part two of this two part series on safe and sound practices hear from the allocators' point of view. What policies and procedures can you implement which will tip the scale in you favor?

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.

 

06/06/2017 11:00 AM EDT

Mid-year check up with US Regulatory Outlook

Part I - US Regulatory Outlook for the Financial Sector

The inauguration is six months behind us. What is the outlook for US financial sector regulation in the second half of 2017?

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.

 

06/13/2017 11:00 AM EDT

Mid-year check up with US Regulatory Outlook

Part II - Global Regulatory Outlook

The inauguration is six months behind us. What is the global regulatory outlook for the financial sector in the second half of 2017?

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.

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