Modern Compliance | Wolters Kluwer
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Modern Compliance

  • Modern Compliance

    "Hot Topics" Webinar Series



    With the launch of our book Modern Compliance volume II in October 2017, Wolters Kluwer partnered with some of the key creative voices behind the Modern Compliance series to take a deep dive into what the current “hot topics” in the compliance industry are, and what could be done to prepare for and better tackle them.


     
     


    Our first webinar, Be Cool – Understanding Compliance “Hot” Topics In A Changing Environment, focuses on identifying what key trends are currently impacting the industry and how, including deep insight and perspective into securities regulation and how to keep up with an ever-changing compliance landscape.

     

     
     



    Our second webinar, Building Steam – How to Implement Cool Solutions to Your Compliance “Hot” Topics , zeroes in on the practical applications of what was discussed in the first webinar, with a particular focus on three areas – Regulatory Change Management, Cybersecurity, and Business Continuity.


    INFORMATION ON OUR SPEAKERS



    Barbara Boehler
    Regulatory Compliance Consultant
    Wolters Kluwer

    Barbara Boehler joined Wolters Kluwer in 2015 with 15 years’ experience in the financial services sector, where she had developed, monitored and assessed both broker-dealer and investment advisor firms’ ethics and compliance programs. She formerly served as global chief compliance officer for Arete Research, a limited-purpose, FINRA-registered broker/dealer specializing in equity research. Before that, she held compliance leadership roles at Fidelity Investments, JP Morgan Invest, Standish Mellon Asset Management, and Babson Capital Management. Boehler’s commentaries have been published in Compliance Week, the National Society of Compliance Professionals’ Currents magazine, Compliance & Ethics Professional, and the American Banker Association’s Bank Compliance magazine. She holds a Juris Doctor degree from Suffolk University School of Law, and a Masters of Law degree from Boston University School of Law. She currently serves as an adjunct lecturer on the practice of compliance at the law schools of both Suffolk University and Boston University.


    John H. Walsh
    Partner
    Eversheds Sutherland
    A 23-year veteran of the Securities and Exchange Commission (SEC), John Walsh joined Eversheds Sutherland (US) in October 2011. With his deep, insider’s experience and perspective of the SEC, John now represents broker-dealers, hedge funds, investment advisers and other securities firms in compliance and regulatory issues involving the agency. He counsels clients on the full spectrum of securities issues from development and compliance to cooperation in examinations and defense in enforcement proceedings. At the SEC, John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of U.S. registered securities entities. He designed and implemented the SEC’s securities compliance examination practices, first as a senior advisor for compliance policy and then, most recently, as associate director-chief counsel. In 2009, he served as OCIE’s acting director and led a massive retraining of examination staff on antifraud techniques. Prior to his tenure at OCIE, John was special counsel to former SEC Chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the SEC Division of Enforcement, serving first as senior counsel and then as chief of the branch of regional office assistance, where he regularly appeared before the Commission’s closed meetings to present and discuss regional office enforcement cases. He also advised the commissioners and staff on securities laws and agency policy. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.


    Craig Watanabe
    Chief Compliance Officer
    American Financial Network Advisory Services, LLC

    Mr. Watanabe serves as a Chief Compliance Officer for American Financial Network Advisory Services, LLC. Mr. Watanabe is also a Financial Advisor at Penniall & Associates, Inc., bringing extensive experience in investments and wealth planning. With over 30 years of industry experience as a Financial Planner, Branch Manager, Operations Manager, Chief Compliance Officer and Chief Operating Officer, Mr. Watanabe provides clients with a high level of compliance consulting support in areas of broker-dealer and investment adviser compliance, investment banking, insurance, commodities, retail investment advisory and ERISA plans. Prior to his joining American Financial Network, Mr. Watanabe worked as a Senior Compliance Consultant for CCLS, with particular focus on practical, risk-based compliance solutions. Before that, he worked at Advisor Solutions Group as a Senior Compliance Consultant. In this capacity, Mr. Watanabe provided comprehensive compliance consulting and outsourcing to retail RIAs. Prior to that, Mr. Watanabe served as the Chief Operations Officer and Chief Compliance Officer at Penniall & Associates. During his six-year tenure, Mr. Watanabe implemented an outcomes-oriented approach to protect investors, advisers and the firm. Mr. Watanabe served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011. Mr. Watanabe served six years on the NSCP Board of Directors and was Chairman of the Board in 2013. Mr. Watanabe is a frequent speaker at compliance conferences and has authored numerous articles and training modules for compliance professionals.