Jeb serves as Aligned’s General Counsel providing legal and compliance guidance to both its dealer member and IFM businesses. Since joining Aligned in January 2019, Jeb has worked closely with the members of Aligned’s management team to provide guidance and novel solutions to common problems faced by its advisors so that they may provide the best possible service to their clients.
Prior to joining Aligned, Jeb spent over a decade in various legal and compliance positions in both the US and Canada, including a stint with the New Hampshire Bureau of Securities Regulation, and as the Director of Compliance and General Counsel for the North American branch of one of Europe’s leading microfinance and Fintech companies. He received his BA from McGill University and JD from the University of New Hampshire School of Law (f/k/a Franklin Pierce Law Center) and is a member of the Law Society of Ontario and the New York State Bar.
Day 1: Jun 17, 2020
Day 2: Jun 18, 2020
11:05 am
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Optimizing Your Compliance Program in the Face of Regulatory Changes, Increased Digitalization, and Market Risk
Evolving your compliance programs is an ongoing challenge as new rules come into place. Meet your increased obligations by preparing for impending challenges such as Client- Focused Reforms, digital transformation, and other registrant oversight requirements. Hear from other compliance departments as they discuss practical solutions to:
- Improve your training, education, and registrant oversight
- Identify, prioritize and address gaps in compliance programs as risks and obligations evolve
- Understanding the implications of rapidly changing market risks in the context of recent CSA guidance for Effective Liquidity Risk Management for investment funds
- Anticipate and address expected regulatory changes in the near and short term
Develop and implement a truly optimized compliance program to meet your regulatory and business challenges
