Why are Chief Compliance Officers the Hottest Commodity on Wall Street? (Ended)
Recent High-Profile Frauds and Whistleblowers in the Financial Industry
Date, Time, and Location:
Thurs., Oct. 10, 2013
4:00 - 6:00 pm
Metropolitan Club, Willis Tower, 233 S. Wacker, Chicago, 60606
(66th floor, Michigan Room)
Compliance is a hot topic in our industry and nobody wants their firm to be the victim of the next big financial fraud. Our expert panel will discuss the importance of developing an ethical culture in today’s regulatory environment. We will examine the life cycle of a fraud starting with how to recognize wrongdoing.
Scott McCleskey will share his experiences at Moody’s during the financial crisis to illustrate important questions to ask and helpful resources for potential whistleblowers. Kelly Richmond Pope will describe how forensic accountants confirm fraud and Lindsey Simon, a former SEC prosecutor and compliance expert, will explain the steps involved in prosecuting frauds.
Scott McCleskey - Global Head of Regulatory Intelligence, Thomson Reuters
Kelly Richmond Pope, Ph.D., CPA - Associate Professor, DePaul University
Lindsey H. Simon - Founder & CEO, Simon Compliance
Moderator: Krista McLeod, CFA, - Partner and Chief Operating Officer, Silverpath Capital Management LLC
Non-Members - $55
Student-Members - $20
(payable by cash, check, credit card or function ticket)*
CFA Institute Qualified Activity: Eligible for 1.5 credit hours
Attire: Business Casual
Menu: Refreshments and light appetizers
4:00 - 4:15pm - Registration /networking
4:15 - 5:45pm - Panel discussion
5:45 - 6:00pm - Informal networking
Hosted by: CFA Women Advisory Group
Scott McCleskey is the Global Head of Regulatory Intelligence at Thomson Reuters. In that capacity, McClesky identifies trends in regulatory requirements as well as tools and services that will assist financial institutions in dealing with regulatory change. Prior to this role, he served as Managing Editor, North America, for the unit of Thomson Reuters which covers financial regulation and reform. He has over twenty years of experience with financial institutions and regulatory bodies on both sides of the Atlantic, in roles including global Chief Compliance Officer and Director of Regulatory Policy. He spent eight years in Brussels and London, and speaks German and Dutch. Prior to entering the financial profession, he served in the Army and the FBI. McClesky has testified to Congress and to the Financial Crisis Inquiry Commission as well as speaking at such venues as the London School of Economics, the European Central Bank and the Aspen Ideas Festival. He writes an editorial column which received a national award from the Society of American Business Editors and Writers, and his most recent book, When Free Markets Fail, discusses regulatory reform from a layperson's point of view. McClesky holds a Master's degree in International Relations from Cambridge and a Master's degree in Financial Regulation and Compliance Management from London Guildhall University. Additionally, he is a member of the Atlantic Council and of the Board of Advisors of the Thomas Jefferson Program in Public Policy at The College of William and Mary.
Kelly Richmond Pope is an Associate Professor in the School of Accountancy and MIS at DePaul University in Chicago, IL and founder of Helios Digital Learning, Inc. She received her doctorate in accounting from Virginia Tech and she is licensed certified public accountant. She worked in the forensic practice at KPMG, LLP on anti-money laundering engagements, insurance fraud investigations, and fraud risk management projects. She is a recognized expert in the forensic accounting field and has conducted forensic accounting seminars around the world for universities, corporations and governmental entities including the United States Securities and Exchange Commission. Her research has been published in the Behavioral Research in Accounting, Auditing: A Journal of Theory & Practice, Journal of Business Ethics, CPA Journal and WebCPA. She is also a co-author on the upcoming book The A.B.C.'s of Behavioral Forensics: Using Psychology to Prevent, Detect and Deter Fraud published by John Wiley & Sons. Additionally, she writes forForbes.com and Newsweek The Daily Beast. She is the creator and executive producer of the award winning educational white-collar crime documentary Crossing the Line: Ordinary People Committing Extraordinary Crime. Crossing the Line is the recipient of the 2012 Contributions to Teaching Award sponsored by the American Accounting Association Ethics Committee and the 2012 Mark Chain/FSA Teaching Innovation Award sponsored by the American Institute of Certified Public Accountants (AICPA). She was recently nominated to the Governing Council to the AICPA for a 3-year term.
Lindsey Simon is a securities professional with fifteen years of experience. Simon specializes in private equity registration, hedge fund registration, mock SEC audits and ongoing compliance management for investment advisors. She served as a Senior Attorney with the United States Securities and Exchange Commission in the Division of Enforcement, and as General Counsel and Chief Compliance Officer at Carpe Diem Capital Management, a Chicago-based hedge fund. She was an Associate in the litigation department of the Chicago office of Winston & Strawn and also served as a law clerk for the Honorable William J. Bauer of the Seventh Circuit Court of Appeals. Ms. Simon received her B.A., cum laude, from Emory University, and her J.D. from Northwestern University School of Law, where she was Editor-in-Chief of the Journal of Criminal Law and Criminology. Simon started Simon Compliance in 2010 to provide honest, direct, and customized answers to clients seeking to create and maintain cultures of compliance. She believes the role of a compliance consultant is to educate employees and companies on what they need to know to comply with the federal securities laws in general, and with an investment adviser's compliance program in particular. Experience with a wide range of clients affords her a distinct market perspective and a continually evolving understanding of the changing landscape of compliance, which she is eager to share with her clients. Whether working on day-to-day compliance issues with a firm or preparing an annual review, she's built a firm that tailors expert work to the needs of her clients and values long-term partnerships and relationships.
Krista McLeod, CFA, is a Partner and the Chief Operating Officer of Silverpath Capital Management LLC, an investment management firm that capitalizes on investment opportunities in real asset securities. Ms. McLeod was most recently the Global Head of Client Service for Brookfield Investment Management Inc., a firm focused on real asset securities with assets under management in excess of $10 billion as of June 30, 2013. She has more than 10 years of investment experience, including significant involvement with hedge fund oversight, reporting and management. Prior to joining Brookfield in 2009, Ms. McLeod was a credit analyst with BNP Paribas as part of the Energy, Commodities, Export and Project team. Ms. McLeod has been a CFA charterholder since 2007 and currently serves as Co-Chair of the Chicago CFA Women's Advisory Group. She has a JD and MBA from the University of Toronto.
*Special Notes Regarding Fees:
Regular, Candidate, and Affiliate Members may apply function tickets as payment for Non-member or Student-Member. Credit card required to guarantee ALL reservations except for reservations using Function Tickets. Day-of-event registrations accepted on-site only if applicable and space available. There is a $5 surcharge for walk-ins. Visa, MasterCard, American Express, Discover and Diners Club are accepted. Cancellations accepted until 5:00 pm, Sept. 30.
Members of any CFA society may attend at the CFA Chicago member rate. If you are only a member of CFA Institute, you do not qualify for the society member rate.
CFA Institute CE Qualified Activity
This program qualifies for credit under the guidelines for the CFA Institute Professional Development Program.
Content shared during CFA Society Chicago programs is not, and nothing in it should be construed as, an offer, invitation or recommendation of any specific financial services company or professional, or an offer, invitation or recommendation to sell, or a solicitation of an offer to buy, any securities in any jurisdiction. By registering for and attending this event, you acknowledge that any photographs that may be taken are the property of CFA Society Chicago and give your consent to their use in CFA Society Chicago's online and print business communications and marketing.