NIBA’s Compliance Officers Group (COG) will hold its first meeting in-person at the Chicago offices of Mayer Brown on the afternoon of September 12th. The meeting consists of three business sessions each selected specifically in response to member CCOs concerns. A committee co-chair will present each individual topic. The discussion leaders – FCM and IB/CTA members of the NIBA will open the discussion and invite all attendees to join in.
The meeting is open to all CCOs, but reservations are required as space is limited.
A reception hosted by Mayer Brown will immediately follow the business sessions.
NIBA Compliance Officers Group (COG) Meeting 2023 Agenda
|Onsite Registration Opens||1:30pm|
|Welcome by Mayer Brown, Matt Kluchenek, Partner|
Welcome by NIBA, Melinda Schramm, Founder & Chairman
|CCO Liability: The Framework and Recent Enforcement Trends Involving CCO Liability and How to Minimize the Liability Risk|
Matt Kluchenek, Mayer Brown
Marry Ann Sellers, Advance Trading, Inc.
Tim Cullen, Phillip Capital
|Vendor Management: Exploring the Examination Priority of Vendor Management Risk, Including Tips to Ensure Proper Vetting of your Firm's Third-Party Partners|
Katie Tervin, Zaner Group
Rob D'Arco, Rival Systems
Cheryl Fitzpatrick, ADM Investor Services
|Advanced Technology Risks: Evaluating Evolving Risks Posed by Advanced Technology, Including Threat Actors and the use of AI in Nefarious Ways|
Braden Perry, Kennyhertz Perry
William Gallwas, Striker Securities
Tom Mallers, R.J. O'Brien
|Reception hosted by Mayer Brown||5:00pm|