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Attending the FMA Securities Compliance Seminar

April 26, 2017

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Patrick M. Dennis, General Counsel

On April 26, 2017 Oyster Consulting Chief legal Officer Patrick Dennis and Associate Director Bill Reilly will be attending the FMA Securities Compliance Seminar in Fort Lauderdale, FL.  Bill will be speaking on issues related to senior and vulnerable adult clients.

Prior to founding Oyster Consulting, Patrick’s career has included extensive work as an attorney with the Securities and Exchange Commission in both the Division of Corporation Finance and the Division of Enforcement, where he handled a variety of cases including complex financial fraud, insider trading, broker-dealer and investment advisory issues and revenue recognition. Patrick also served as General Counsel and Corporate Secretary for Banc One Securities Corporation (Bank One Corporation’s bank brokerage firm), and was a member of the firm’s senior management team.

Bill assists industry firms with developing Written Supervisory Procedures (WSPs) for broker-dealers and Policies and Procedures (P&Ps) for investment advisers, as well as providing in-house firm training for dealing with vulnerable adults and senior clients. Included in these WSPs and P&Ps are procedures for complying with state regulations for addressing client disbursement holds when financial exploitation of the client is suspected. Bill acts in an outsource capacity to assist firms in meeting their branch office examination cycles, leveraging his examination expertise and relationships with state and federal regulators and self-regulatory organizations. Bill also conducts FINRA Rule 3120 Examinations, annual examinations for investment advisers, third party independent reviews required by regulatory settlements and acts as an expert witness.

 

To learn more about how Oyster can assist your firm with its regulatory compliance, complete our contact form and one of our Relationship Managers will be happy to help you.

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Date:
April 26, 2017
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