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CCO Webcast: Key Issues in Small Firm Compliance

We’re entering the homestretch of another year disrupted by COVID-19. How have compliance leaders adapted and what are the lessons learned? What do Chief Compliance Officers need to know to finish 2021 strong and be ready for what 2022 brings? 

Join Hope L. Newsome, Esq., Managing Partner and Samantha Osbourne, Esq., Associate Attorney at Virtus LLP a for an overview of the timely challenges that are facing Chief Compliance Officers right now, including:

  • Gift and Entertainment policies for the upcoming holiday season
  • Personal Trading compliance in light of remote and hybrid work
  • Cryptocurrency risk for small firms
  • Regulatory priorities and indicators for the rest of 2021 and beyond

    A question and answer session will follow.
Date : October 21, 2021

Time : 2 PM EDT

Register Now

WEBINAR SPEAKERS

Corporate and Financial Services Attorney by trade; Bridge-Builder between investors and the market by passion.

Practices & Capabilities:

13 years serving as counsel and compliance officer for issuers and sponsors of private and public investment funds, broker-dealers and registered investment advisers.Experience in all manners of equity offerings. Served as chief compliance officer and secretary of two global energy investment companies registered under the Investment Company Act of 1940, as amended.Successfully led both new membership and continuing membership applications with FINRA and cycle and for- cause examinations with FINRA and the SEC.

Significant experience providing general corporate counsel to start-up, growth and renewal organizations including the execution of firm internal testing standards and processes.

Hope Newsome
Managing Partner,Virtus LLP

Samantha Osbourne is Associate Attorney at Virtus LLP.

Virtus LLP is a law firm designed to provide valued solutions to businesses, financial institutions, corporations and governmental entities, was founded on the ideals of excellence, courage and character. With a focus on Corporate & Securities, Financial Services, Private Capital, and Project & Public Finance our attorneys are well versed in efficiently meeting the time sensitive, detail-oriented demands of our clients.

Virtus brings the combined experience of its attorneys who have served as shareholder at a global law firm and as general counsel and chief compliance officer for several financial institutions. 

 

Samantha Osbourne
Associate Attorney, Virtus LLP