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The SEC’s 2022 Agenda: Expectations and Implications of Shadow Trading Priority

This webinar covers:

  • An overview of SEC Agenda priority predictions: From ESG to cybersecurity to cryptocurrency, the SEC is expanding their purview and increasing regulations across the board.
  • An in-depth look at the “novel” approach to insider trading: Using the case SEC v. Panuwat as our example, we’ll explore the evolution of insider trading and how the SEC plans to regulate shadow trading in the future.
  • What the SEC’s heightened regulations mean for your firm: New regulations = new challenges.
  • How ComplySci can help: Remaining compliant even with heightened regulations from the SEC requires clear and precise policies, a diligent compliance team, and the right technology. The ComplySci Platform was designed to help automate your processes and elevate your program.

Panelists

Sunil Bheda

Sunil Bheda

ComplySci

Chief Technology Officer

Sunil joined ComplySci as CTO in 2020 with a wealth of experience and an impressive 15-year record of success in planning, developing, and deploying scalable enterprise business and product solutions that are both client and end-user focused. Prior to joining ComplySci, Sunil worked at LRN, a company focused on advising and educating on ethics, regulatory compliance, and corporate culture.

Sunil also managed product strategy and execution for StayWell and PowerMyLearning.com and spent eight years with McGraw Hill Education as Vice President of MHHE Digital Technology, leveraging his strong understanding of customer learning habits to create valuable instructional applications, integrations, assessments, and resource materials for purchase. Earlier in his career, Sunil worked as a technology consultant for BBC Technology, LLT and iXL Inc., where his clients included National Public radio (NPR), Fox Filmed Entertainment, ESPN, PricewaterhouseCoopers (Global Knowledge Management Group and Learning Group), and The Golf Channel.

Kevin Turton

Kevin Turton

NRS

Consultant

Kevin is a Consultant with NRS based in New York City. Kevin delivers comprehensive compliance solutions to various types of investment management firms including separately managed account advisers, mutual fund advisers and private fund advisers, including hedge funds, private equity funds, venture capital funds and real estate funds.

Kevin earned his Juris Doctor degree from Brooklyn Law School in 2012 and is a member of the New York State Bar. After graduating from law school, Kevin served as Chief Operating Officer of another leading compliance consulting firm based in New York City. During his tenure there, Kevin hired, trained and oversaw the firm’s team of consultants while ensuring quality control and increasing operational efficiency. Kevin also performed consulting services for key clients.

Before attending law school, Kevin entered the financial services industry as a Financial Advisor and formerly held Series 7 and Series 66 licenses while he was with UBS Financial Services and MetLife Financial Services.

Alberto Zamora

Alberto Zamora

ComplySci

Vice President, Product Management

Alberto joined ComplySci as VP of Product in December of 2016. He has been responsible for defining, driving, and executing our product strategy, while being the voice of our clients every day, in every way.

Alberto has over fifteen years of product management experience in the financial technology space. Prior to ComplySci, Alberto served as Vice President, Product Management at S&P Global Markets Intelligence, where he led the product teams responsible for all mobile, and various core web platform, offerings.

Prior to S&P Global, Alberto was a senior member of the product management team at TheMarkets.com, playing a key role in its success, ultimately resulting in its sale to McGraw Hill. Alberto started his career at UBS Wealth Management as a quality assurance analyst, where he was first exposed to software development.

After transitioning to product management there, he hasn’t looked back! Alberto holds a Bachelor of Science in Information Management and Technology from Syracuse University.