FIRMA Member Price: $175.00
Non-Member Price: $275.00
Three or more Group, per attendee - FIRMA Member: $125.00
Three or more Group, per attendee - Non-Member: $225.00
Registration Form
SPEAKERS:
Mark Gray - Moderator
Gray Consulting Group
Hamilton, GA
Mark is a consultant in the fiduciary risk and compliance space. He has over 35 years of experience as both a regulator and chief compliance officer for a national trust company.
Jamie Bazarow
Supervisory Examiner
FRB of St. Louis
St. Louis, MO
Jamie oversees the fiduciary activities supervision function. She has over 25 years of experience examining and monitoring large, regional, and community banks.
Chizoba Egbuonu
Director for Asset Management Policy, Market Risk Division
in Bank Supervision Policy
Office of the Comptroller of the Currency
Washington, DC
Chiz is the OCC’s respected voice and leader for asset management examination policy for national banks and federal savings associations.
Mark R. Greer
Partner-in-Charge
Stradley Ronon Stevens & Young LLP
Chicago, IL
Mark specializes in regulatory and compliance matters under U.S. federal securities laws. Mark advises RIAs in all areas of SEC Enforcement and examination preparation.
Please join us for this unique glimpse into the ‘red flag’ areas of fiduciary regulatory examinations. Our expert leadership panel will represent the federal agencies of the OCC, FED, and SEC. Mark Greer will further discuss SEC and FINRA Regulatory and Enforcement Developments as well as common examination deficiencies.
We hope that you will take advantage of this cost-benefit opportunity to participate in our valuable non-travel education programs. FIRMA members enjoy discounted registration pricing for each of our webinars in 2025.
NOTE: FIRMA encourages you to extend a special invitation to your Business First Line Executives and to your Fiduciary Counsel Team to attend this informative Webinar.
This program will be recorded for playback by registered attendees.
Enjoy:
Powered with a trusted and reputable virtual platform, Zoom, through Cypress Planning Group.
CONTINUING EDUCATION CREDITS (CEs)
Certified FIRMA Members and Cannon CFIRS®, CCTP™, CRPP™, AFIM®, CTOP®, CTA, and CTCP Professionals are pre-approved for 1.5 CEs for this Virtual Seminar. The ABA has pre-approved the following CEs: CTFA, CRCM, CRSP, and CISP 2.0. Check with your credentials provider for specific applicability.
Registration Deadline is March 12th
Cancellations received through March 12, 2025, will be refunded less a $25 service charge. Cancellations made after March 12, 2025, are not refundable. Written notification is required to process any cancellation or refund.