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Attending the SIFMA Compliance & Annual Legal Seminar

March 19, 2017 - March 22, 2017

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Oyster Consulting Principal and Legal Counsel Patrick Dennis, Managing Director Dan Labovitz, Managing Director Hank Sanchez, Managing Director Richard Chase, Associate Director Harriet Britt and Associate Director Jill Bening will be attending the SIFMA Compliance & Annual Legal Seminar in San Diego, March 19-22, 2017.

 

Patrick M. Dennis has been involved in the securities industry for over 30 years, and is one of the Founding Principals of Oyster Consulting. Patrick not only acts as Oyster’s Legal Counsel, but is also responsible for client and employee engagement, as well as regulatory relations. 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.

 

Dan Labovitz is an attorney with 20 years of experience in the financial services industry as NYSE Regulation’s Head of the Office General Counsel, responsible for equity trading rules and policy, and as a former NYSE prosecutor. Dan specializes in legal, regulatory, and compliance issues surrounding market surveillance, e-communications review, strategic planning and guidance for global exchanges, and international investment banks, and broker-dealers. Dan has extensive experience developing, monitoring and enforcing trading rules for the NYSE, Amex and exchanges in frontier and emerging markets.

 

Richard Chase is a securities industry professional with over 35 years of experience. Prior to joining Oyster, Richard served as Chief Compliance Officer and General Counsel to a global investment bank. Richard has broad experience with regulatory issues surrounding virtually all aspects of capital markets activities, equities and derivatives. Richard began his career with the United States Securities and Exchange Commission, rising to the level of Associate Director in charge of the options, exchange, over-the-counter, municipal, clearing and transfer agent branches of the SEC Division of Market Regulation.

 

Hank brings over 30 years of securities industry experience in the areas of Legal and Compliance to his role as Managing Director at Oyster. Hank has worked with multiple clients varying in size from national to smaller financial firms. His expertise has been engaged to act as contract Chief Compliance Officer, analyze compliance programs, assess product due diligence, develop a Conflicts of Interest program, testify as an expert witness, act as Independent Consultant on regulatory matters, and consult on a wide variety of issues. Immediately prior to joining Oyster, Hank was with LPL Financial Corporation, where he held Compliance leadership roles as Vice President of Surveillance, Sr. Vice President, and CCO of the nation’s largest independent brokerage firm. For more than 10 years, Hank was a regulator with both the SEC and FINRA. While with the SEC, he was assigned to the SEC’s Division of Market Regulation, working in the Office of Trading Practices, and the Office of Inspections, Options Branch. At FINRA, he served as regional counsel in FINRA Regulation’s Enforcement Department. Hank spent several years in private practice concentrating in broker/dealer compliance matters. He is also a FINRA Arbitrator and frequently speaks at securities industry conferences.

 

Harriet has over 30 years of experience in the securities and futures industries, with the last 20 focused on supervision and compliance at broker-dealers and investment advisors. She brings extensive experience at investment banking boutiques in the areas of corporate finance, mergers and acquisitions, institutional sales, trading, research, private client and wealth management services. Harriet has worked with U.S. firms that have affiliate businesses in Europe and the Middle-East. Harriet has also registered wealth management firms, hedge funds and mutual funds. She has created and implemented compliance programs for broker-dealers and investment advisors. She has been the AML officer at multiple organizations, and developed privacy and information security policies and Business Continuity Plans. In addition, Harriet has also managed the legal affairs for investment banks.

 

Jill is an experienced Compliance professional that brings over 15 years of practical compliance application perspective and insight. Jill has worked in the Compliance divisions of both small and large regional and national independent broker-dealers as well as conducted compliance reviews of registered investment advisors and private equity firms.  She has served as the Chief Compliance Officer for broker-dealers, registered investment advisors and dual-registered firms.  She has advised firms on a wide range of federal and state regulatory matters, including responding to SEC, FINRA and state inquiries, and provides a practical application perspective to firms and their compliance programs. Jill specializes in broker-dealer supervision and surveillance including the creation of Written Supervisory Policies and Procedures, branch office supervision and oversight, evaluations of complex compliance issues, firm and product due diligence, responses to regulatory inquiries and arbitrations, continuing education training and development, anti-money laundering (AML) reviews and annual compliance requirements.

 

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.

Details

Start:
March 19, 2017
End:
March 22, 2017
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