NSCP: The Regulators and Panels to See at the Conference

The national conference put on by the National Society of Compliance Professionals is one of the best in the industry….and it is coming up – fast.  It’s not too late to register, and you can do so by clicking here.

But once you get there, how do you decide which sessions to attend? Which speakers are going to touch on the topics you care about most?

We can’t answer which speakers or sessions will be the best, but if you’re looking for the regulators and their topics, here’s your answer.


Broker-Dealer Regulatory Review Panel: Susan Axelrod

One of the very first sessions will be the Regulatory Review Panel, with Susan Axelrod as one of the panelists. Ms. Axelrod is the current Executive Vice President of Regulatory Operations at FINRA, where she oversees the Office of Fraud Detection & Market Intelligence and Member Regulation.

Her experience and background are extensive, including major accomplishments such as her role in the integration of NASD and NYSE Member Regulation. Her time at NYSE included work as a Staff Attorney, and she became an Enforcement Director in 1997.

In the NSCP review panel, she’ll be one of four panelists discussing the broker-dealer regulatory landscape. This panel is one to attend if you’d like hear experts , as well as recent enforcement actions.

Municipal Adviser Regulatory Review Panel

Later on Monday morning, there’s another key Regulatory Review Panel worth attending. This one will have several regulators with impressive backgrounds to weigh in on regulatory focus, SEC/FINRA exam priorities and what to expect, as well as study guidance and best practices for improving compliance.

Of the four panelists, three are regulators, making this session one to attend.

The three regulators include Gail Marshall, the Chief Compliance Officer of the Municipal Securities Rulemaking Board (MSRB). As such, Ms. Marshall is responsible for the MSRB’s relationship with other regulatory agencies regarding enforcement support.

Also on the panel is Nadine Evans. Ms. Evans has been with the SEC for over four years, identifying, communicating and providing legal, policy, and regulatory guidance in the area of municipal securities for the SEC’s National Examination Program.

Before joining the SEC, she acted as a public finance lawyer, specializing in municipal bond financing, as well as acting as Bond Counsel, Issuer’s Counsel, Swap Counsel, and Underwriter’s Counsel.

The third regulator on the panel is Suzanne McGovern, the Assistant Director of the U.S. Securities and Exchange Commission. Suzanne has over two decades of experience working with Wall Street firms prior to her work with the SEC.



IA/IC/PG Regulatory Review Panel – Jennifer Duggins

Jennifer Duggins is the Senior Specialized Examiner and Co-Head Private Funds Unit at the U.S. Securities & Exchange Commission.

Her experience as a director in KPMG’s financial services regulatory practice, as well as chief compliance officer at Chilton Investment Co., means that her insights are sure to be helpful and practical. The IA/IC/PG Regulatory Review Panel will be reviewing what’s changed at the SEC under the current administration, the SEC’s priorities, as well as specific actions that impact your business.

IA/IC/PF Enforcement Issues Panel

To learn the latest on what is happening in regulatory enforcement cases, there are multiple regulators that will be providing insights into what the SEC is looking for. This panel will be reviewing the dynamic between the OCIE examination process, and the issuance of a complaint from the Division of Enforcement.

Additionally, this panel will discuss mock exams, self-reporting, responding to regulatory inquiries and subpoenas, as well as retaining and working with outside counsel (and the importance of privilege).

You’ll hear from Anthony Kelly, the Co-Chief of the Asset Management Unit at the U.S. Securities and Exchange Commission.

He’s been with the SEC for 17 years, serving in multiple capacities as he rose to his current position as Co-Chief. He leads a nation-wide unit that investigates and pursues misconduct across the asset management industry.

Additionally, Dan Kahl will be on the panel. Mr. Kahl is the Assistant Director and Chief Counsel for the Office of Compliance Inspections and Examinations at the U.S. Securities and Exchange Commission. He has worked with the Investment Adviser Association, FINRA, and the North American Securities Administrators Association.

FINRA Enforcement Issues: Susan Schroeder

Susan Schroeder is the Head of Enforcement at FINRA, formerly the Deputy Chief responsible for the oversight of the Department of Enforcement in New York. Naturally, as the Head of Enforcement, her insights into recent and pending SEC and FINRA enforcement actions will be enlightening.

Additionally, the panel will discuss regulatory trends and priorities, the impact and value of self-reporting and cooperation, as well as understanding the coordination between regulatory bodies.

Come See Core Compliance and Legal Services at NSCP!

Several members of the Core Compliance team will be attending the conference. You can find us at our booth, #36, and chat with our Business Development Executive about your compliance program  needs.

Additionally, our very own CEO, Michelle L. Jacko, CSCP, will be speaking at the event. If you need to learn about Compliance Risk and Governance in Today’s World, then her session linked here is one worth attending.

Need to talk to us about something specific? Click below to set up a time to talk one on one with a member of our team.


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