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IA Compliance – Mastering Emerging Challenges

September 16, 2019

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Oyster’s General Counsel Patrick M. Dennis and Senior Consultant Preeti Gupta will be attending the 2019 IA Compliance: Mastering Emerging Challenges Conference on September 16 in Philadelphia, PA.  The conference includes:

  • The latest on regulatory initiatives being hatched by the SEC.
  • Strategies to ensure you’re ready for your next OCIE exam.
  • Effective techniques to spot and mitigate your toughest risks.
  • Compliance best practices that span the full range of your program.
  • Lessons from a bitterly contested enforcement action.
  • The latest on your role in helping your firm repel cyber bad guys

Patrick M. Dennis was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its predecessors. Patrick moved to Wells Fargo in 1998, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm. He managed securities litigation and arbitration matters until 2003 when he moved into a Senior Regulatory Counsel position. In that capacity, he handled a number of high-profile regulatory matters for the firm including, mutual fund breakpoints, mutual fund market timing, inactive fee-based accounts and closed end funds. Patrick also served as Senior Regulatory Counsel to Wachovia’s Investment Advisory line of business.

With more than 15 years of expertise in the financial services industry, Preeti Gupta brings extensive experience as a former regulator, senior compliance officer and in legal counsel roles, including investment advisor, broker-dealer, capital markets, and international regulatory and compliance matters. Preeti began her career as a regulator at FINRA within both the Department of Enforcement and Division of Market Surveillance. She has worked for global financial firms, holding a variety of positions, including Assistant General Counsel, Senior Compliance Manager and Assistant Vice President.  Preeti’s experience also includes implementing and overseeing various cybersecurity programs, information security policy and data breach/incident response project management.