presentations

The following presentations are in PDF Format. Download Adobe Reader to view them.

Regulation of E-mail and Electronic Records (PDF)

Moderator: 
Nikki E. Procopio
Director  and Senior Regional Compliance Advisor
Deutsche Bank Americas
 

Panelists:
Christopher Gilkerson
SVP and Deputy General Counsel
Charles Schwab & Co., Inc.

 

Scott C. Kursman
Senior Vice President and Chief Counsel for Global Compliance
Lehman Brothers, Inc.

 

Bruce W. Maisel
Vice President, Distribution Law
Thrivent Investment Management, Inc.

 

Randall Roy
Division of Market Regulation
Securities and Exchange Commission

Practicalities and Pitfalls: Supervision, Destruction, and Enforcement (PDF)

Moderator:
Ben A. Indek
Partner
Morgan, Lewis & Bockius

 

Panelists: 
Carol Burnet
Director, Equity Division
Nomura Securities International, Inc.

 

Elaine H. Mandelbaum
Managing Director and Deputy General Counsel
Citigroup Global Markets Inc.

 

Grace B. Vogel
Executive Vice President, Member Regulation
Financial Industry Regulatory Authority (FINRA)