NIBA Compliance Officers Group (COG) Meeting 2023


September 12, 2023

Starts at

1:30pm CT


Mayer Brown

71 South Wacker Drive Chicago, IL 60606

NIBA’s Compliance Officers Group Meeting Immediately followed by Networking Cocktail Reception hosted by Mayer Brown

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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.

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NIBA Compliance Officers Group (COG) Meeting 2023 Agenda

Onsite Registration Opens1:30pm
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
Discussion Leaders:
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
Discussion Leaders:
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
Discussion Leaders:
William Gallwas, Striker Securities
Tom Mallers, R.J. O'Brien
Reception hosted by Mayer Brown5:00pm