“NSCP
 

March 18, 2024 - NSCP Regulatory Interchange Featuring the SEC

Virtual Event (12:00 - 3:00 PM EST)

Agenda:

SESSION 1 (12:00 - 1:15 PM Eastern): SEC Enforcement panel

Speakers:

Featured
Ana Petrovic
Ana Petrovic

(Moderator)

Director

Kroll, LLC

BREAK: (1:15 - 1:45 PM Eastern)

 

SESSION 2: (1:45 - 3:00 PM Eastern): SEC Examinations panel

Speakers:

Featured
Kyrstin Ritsema
Kyrstin Ritsema

(Moderator)

Executive Director, Compliance Services

Confluence

Marshall Gandy
Marshall Gandy

National Associate Director of the Investment Adviser and Investment Company Examination Program, Division of Examinations

U.S. Securities & Exchange Commission

Michael Rufino
Michael Rufino

National Associate Director of the Broker-Dealer/Exchange Program, Division of Examinations

U.S. Securities & Exchange Commission

Registration Fees:

  • No pre-registration needed.

  • NSCP Members will receive an emailed invitation from Swapcard for the webinar.

This event is not eligible for Continuing Education Credits 

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