Speakers
AJ Bosco
Director, Deutsche Bank Securities Inc
A.J. manages the Regulatory Exams and Investigations Unit in the Deutsche Bank Securities Compliance Department, where he supervises a staff that serves as the primary point of contact between the DBSI and the SEC, NYSE, FINRA and other examining authorities for all regulatory exams and inquiries. A.J. joined Deutsche Bank in 2003 as the manager of the Monitoring, Surveillance and Investigations Unit, which is responsible for conducting trading surveillance, desk reviews and branch office examinations.
Prior to joining the Bank, A.J. was First Vice President and Corporate Counsel in the Legal Department of Prudential Securities Inc. and a Branch Chief in the New York office of the Securities and Exchange Commission. A.J. started his career as an Assistant District Attorney in the Manhattan District Attorney’s Office.
A.J. earned a B.A. degree in history from Columbia University and a J.D. degree from Fordham University School of Law.
Donald Lopezi
Director, Department of Member Regulation, FINRA
Donald Lopezi, Director in FINRA’s Department of Member Regulation, assists in the administration of FINRA’s National Examination Program. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. He began his career as an Examiner in NASD’s Denver District Office in 1992 and, after serving as a Supervisor in the Denver District Office, joined the Washington, DC, office in September 2003. Examination Programs authors and maintains examination policies and procedures used by FINRA’s examination staff, coordinates national special projects and initiatives, and oversees the national examination program—the regulated firm-focused examination and surveillance activities conducted by NASD’s Member Regulation Department. Mr. Lopezi graduated from the University of Colorado at Boulder with a B.S. degree in Accounting, and received his MBA from the University of Colorado at Denver.
Richard D. Marshall
Partner, Ropes & Gray
Richard Marshall is a partner in the Investment Management and Securities Litigation groups of Ropes & Gray. Since entering private practice, Rick has conducted compliance reviews and provided compliance counseling for investment companies, investment advisers, hedge funds, and broker-dealers; represented individuals and regulated entities in inspections, investigations, and litigation against the Securities and Exchange Commission, self-regulatory organizations, state securities regulators, and U.S. Attorney's offices; created hedge funds; provided advice on the creation of new products for investment companies, investment advisers, hedge funds, and broker-dealers; and counseled investment companies, investment advisers, hedge funds, and broker-dealers on regulatory matters.
Before joining Ropes & Gray, Rick had been Senior Associate Regional Administrator in the New York office of the Securities and Exchange Commission. In that position, he supervised a staff of seventy that conducted inspections of investment companies and advisers in the New York region and oversaw enforcement matters related to those entities. Rick has also been a branch chief in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C.
Janaya P. Moscony
CFA, President, SEC Compliance Consultants, Inc
Ms. Moscony is the President and Founder of SEC Compliance Consultants, Inc. As a former Securities and Exchange Commission regulator, Janaya has extensive experience in the examination, implementation and enforcement of securities regulations. As a consultant, she advises financial institutions how best to effectively manage the regulatory environment with a focus on balancing business needs with regulatory requirements.
Prior to joining Bank of Hawaii, Janaya was employed as a regulatory consultant by BISYS Professional Services, a nationally recognized consulting firm. While at BISYS, she managed numerous engagements with banks, mutual funds, investment advisers and broker-dealers. Prior to BISYS, Janaya worked as a staff accountant for the Philadelphia District Office of the SEC where she worked on routine and cause examinations as well as enforcement cases on behalf of a broad-range of financial entities. Janaya joined the SEC as a Compliance Examiner through the Outstanding Scholar Program. She routinely liaised with other regulatory entities including the NASD, NYSE and state regulators. Janaya received the Chartered Financial Analyst designation in 1999. She graduated with a B.A. in Economics and Spanish from Rutgers University in 1995.
Details
Thursday
November 19, 2009
2:00pm EST
1 hour
