Washington DC Compliance
Round Table
Events
SEC Speaker Web Event: Anti-Money Laundering Regulatory Trends
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David A. Cohen
Senior Counsel, Office of Market Intelligence, Bank Secrecy Act Group, SEC
4 september 2025
04:30 pm est
Join us for a virtual meeting to discuss the delay in the new AML regulatory changes for RIAs, AI related risks and benefits for SEC registrants, regulatory observations such as filing SARs and other potential strengths and weaknesses in AML risk management.
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WDCCRT Members can RSVP at contact@wdccrt.org by COB August 31st, 2025 to receive log-in information.
About WDCCRT
The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:
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To educate compliance professionals in the financial and securities industries; and
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To facilitate networking opportunities for compliance professionals in the financial and securities industries.
The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.
For membership information please use Contact form
WDCCRT Board
Board Director Director of Compliance, DCIM
Sponsors
Past Events
08/07/2025
SEC Speaker Web Event: Recent SEC Accounting and Disclosure Cases: Lessons Learned
Pei Y. Chung
Associate Director, Division of Enforcement, SEC
05/29/2025
SEC Speaker Web Event: Recent SEC Cyber Security Cases: Lessons Learned
Mark Sylvester
Associate Director, New York Regional Office, Division of Enforcement, SEC
10/31/2024
SEC Speaker Web Event: 2025 upcoming SEC Examinations Priorities
Marshall Gandy
Senior Officer and National Associate Director of the Investment Adviser and Investment Company examination program in the SEC’s Division of Examinations
09/05/2024
Web Event: Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information overview
Melissa R. Hodgman
Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
03/21/2024
Web Event: SEC Division of Enforcement Tips Complaints and Referrals overview
Jennifer M. Carr
Branch Chief, SEC Enforcement Division’s Office of Market Intelligence
11/9/2023
Web Event: North American Securities Administrators Association
Vince Martinez
General Counsel of the North American Securities Administrators Association (NASAA)
10/5/2023
Web Event: FBI Speaker
2023 Financial Crimes Overview
Richard Pires Jr
Supervisory Special Agent and the Program Manager for the Federal Bureau of Investigation at the National Intellectual Property Rights Center