Vanderbilt Insights

2015 Compliance Summit

Our Chief Compliance Office, Barry Champney, was asked to speak at Compliance Science, Inc.’s two day user conference in New York City on November 16th. Barry was a speaker on a panel discussion on Crisis Management. Barry spoke about a pressing issue this year, Outside Business Activities:

“Outside Business Activities have become an even more significant focus of Regulators. Representatives should double-check their OBA Disclosures in CRD to make sure they are updated and accurate. It is the responsibility of every Registered Representative to provide their firm with any necessary updates, terminations or requests for a new OBA.” – Barry Champney, Vanderbilt Financial Group Chief Compliance Officer

The conference attracts over 250 attendees each year. Speakers include experts in security, consulting, law and compliance. In such a dynamic and ever-changing industry it is important to stay educated to new technologies and best practices to maintain compliance and success.

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