Lessons Learned From Recent Broker-Dealer and MSB Disciplinary Actions

  • When: December 16, 2015
  • Time: 12:00 PM – 2:00 PM ET
  • Level: All

Recent disciplinary cases suggests a clear disconnect between broker-dealers and regulators when it comes to compliance expectations. This webinar closes that gap by examining recent compliance failures that led to disciplinary actions. Then, our panel details best practices for meeting or exceeding regulatory expectations, including potentially complex transactions like delivery versus payment/receive versus payment and due diligence of foreign financial institutions.

Learning Objectives

  • Utilizing common errors cited in enforcement actions to develop a pre-emptive strategy
  • Examining the latest professional liability developments to inform personal liability planning
  • Reviewing successful responses to enforcement actions for guidance on mastering corrective actions

Who Should Attend

  • Compliance Personnel
  • Technology Officers
  • Broker-Dealers


  • Broker-Dealers
  • Technology Vendors
  • Industry Consultants


ACAMS Members Non-Members
$245 $445
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Jonathan Lopez
  • Jonathan Lopez

  • Partner
  • Orrick Herrington & Sutcliffe LLP


Brion Nazzaro
  • Brion Nazzaro, CAMS, CFE, CRCM, PMP

  • Group Compliance Director
  • WorldRemit Corp

  • Debra Roberts

  • Assistant General Counsel
  • JPMorgan Chase