Building Resilience Through Governance, Risk and Compliance Strategies

Compliance and risk management on Wall Street is vitally important to the health of a well-functioning economy and its financial markets. Regulation across all sectors of Wall Street, from broker-dealers to registered investment advisor firms to hedge funds and other financial service firms, has become increasingly more robust and stringent over the past decades.

This presentation will discuss practical ways that firms can improve their compliance and risk management strategies to mitigate the many risks to their clients and to the firms themselves that can arise from lax and ineffective compliance and risk management strategies. This presentation will be given by Dr. Paul Wendee, a 40-year veteran of Wall Street who has owned and/or managed several Wall Street firms (broker-dealers, investment banking firms, investment advisory firms, and hedge funds).

Here are some of the topics attendees can expect:
1. Why is compliance and risk management on Wall Street important?
2. Compliance and risk management for securities broker-dealers.
3. Compliance and risk management for registered investment advisors.
4. Compliance and risk management for investment banks.
5. Compliance and risk management for hedge funds.
6. Compliance and risk management for other financial service firms.
7. Some interesting examples of frauds that have been perpetrated on Wall Street.