Globanet to Present Compliance Webex on Designated Third Parties

Globanet’s Shannon Smith (Director of Information Governance and General Counsel) will be presenting a compliance webex on Designated Third Parties.  The webex - entitled Spotlight on Designated Third Parties: What Every Broker-Dealer, Swap Dealer and Compliance Officer Needs to Know! - will take place on Thursday, July 18 at 11am PST.  Shannon will address how the SEC and CFTC operate to govern D3P activity, where to look for different types of data subject to regulation and how independent third parties can work with client IT to ensure requisite data is properly captured and stored.  She will also discuss the market and provide an overview of Globanet’s D3P offering.   

Click here to join this webex and learn the value of an experienced Designated Third Party and how a D3P can protect your business. 

We look forward to seeing you there!

Tags: 
designated third party, compliance, FINRA, SEC, CFTC, Dodd-Frank, Shannon Smith