Ellen's Publications, Speeches, and Presentations

Publications

  • "Hot Button Cybersecurity Issues 2018," Securities Transfer Association Newsletter (October 2018)

  • "Initial Coin Offerings (ICOs) Under the Microscope: Revealing Characteristics Familiar to Transfer Agents and Pitfalls for Issuers to Manage," Securities Transfer Association Newsletter (July 2018)

  • "Is Your Compliance Manual Sustainable? Pitfalls to Recognize to Mitigate Your Regulatory and Reputation Risk ©," ebook 

  • "Reviewing Risk Framework Requirements and Moving Towards Operational Risk Being Raised to an Equal Visibility as Credit and Market Risk," Center for Financial Professionals Risk Insights Magazine (April-June 2017)

  • "Is Your Compliance Manual Sustainable?©" Securities Transfer Association Newsletter (April 2017)

 

  • “Enterprise Risk Management – A Cornerstone to Detect and Prevent Unscrupulous Conduct,” Securities Transfer Association Newsletter (October 2016)

 

  • “SEC Enforcement Trends,” Securities Transfer Association Newsletter (July 2016)

  • “How do the Comment Letters to the SEC Concept Release Stack Up?” Securities Transfer Association Newsletter (April 2016)

  • “Privacy Compliance – What Does it Mean for Transfer Agents?” Securities Transfer Association Newsletter (January 2016)

Speaking Engagements

  • Data Privacy Panel," Kelley Drye & Warren LLP (November 2018)

  • "Broker-Dealer Trading Firm Issues," National Society of Compliance Professionals (NSCP) 2018 Annual Conference (October 2018)

  • "Security Governance, Compliance, Risk Management Panel," Avsentia Cyber Security Summit (October 2018)

  • "Sustainable Compliance Manuals ©," LexVid online Continuing Legal Education course (September 2017)

  • Round-table Discussion: "Best Practices for Ensuring the Independence of the Second Line of Defense," Center for Financial Professionals 6th Annual Risk Americas Convention 2017 (May 2017)

  • “Creating an Effective Compliance Program: Cutting Edge Issues – Corporate Compliance Career Services Panel,” Fordham University School of Law (November 2016)

 

  • “Foundational Compliance and Risk Management Elements in Financial Services,” Practicing Law Institute Financial Services Industry Regulatory Compliance and Ethics Forum 2016 (November 2016)

 

  • “Regulatory Issues Update Panel,” 2015 AST Executive Forum (October 2015)

 

  • “Issuer Risks and Liabilities Panel,” 2014 AST Executive Forum (October 2014)

 

  • “Enforcement Case Studies Panel,” 2013 Annual FINRA Advertising Regulation Conference (October 2013)

 

  • “Public Communications Workshop,” 2013 FINRA Enforcement Conference (October 2013)

 

  • “Alternative Investments Panel,” 2011 Annual FINRA Advertising Regulation Conference (October 2011)

 

  • “Single Broker/Pro Se Respondents Workshop,” 2011 FINRA Enforcement Conference (October 2011)

 

  • “Emerging Regulatory Issues Panel,” 2008 FINRA Enforcement Conference (October 2008)

© 2019 by Sustainable Compliance Strategies, LLC ™. 99 Wall Street Suite 763, New York, NY 10005