CLE Course Details

Common Examination Findings and Compliance Effective Practices for Institutional Firms

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Price: $29
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  • Description
    In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on preparing for the examination, the common deficiencies to be aware of, the examination process itself and how to facilitate it, and how to initiate procedural controls in response to the most common deficiencies noted.
  • Instructor Bio

    William St. Louis

    William St. Louis is the District Director of FINRA’s New York and Long Island offices and manages the sales practice examination and surveillance staff in those offices. Prior to assuming this role in June 2014, he was the Regional Enforcement Chief Counsel for FINRA’s North Region where he managed Enforcement staff in FINRA’s New Jersey, Boston, and Philadelphia offices.

    He joined the company in 1998 and spent several years in a variety of Enforcement roles in New York including service as a Deputy Regional Chief Counsel. Mr. St. Louis earned a B.A. from Baruch College and a law degree from New York University School of Law. Prior to law school he worked in the Compliance Department of a regional broker-dealer.

    Gil Mogavero

    Gil Mogavero is Managing Director and Chief Compliance Officer of JMP Securities. In addition to the Compliance program at JMP, he oversees the broker-dealer operations. Prior to joining JMP in 2000, Mr. Mogavero was Chief Financial Officer and Chief Administrative Officer at Mitchum, Jones & Templeton, a San Francisco-based brokerage firm, with oversight of compliance and operations. He previously spent a year at Robertson Stephens as vice president of operations. From 1987 through 1996, Mr. Mogavero served as head of compliance and operations at Volpe, Welty & Company, where he established the firm’s brokerage operations, compliance program and communications infrastructure. Earlier in his career, which began in 1973, Mr. Mogavero held compliance and operations positions at Donaldson, Lufkin & Jenrette and Oppenheimer & Co., among other financial institutions. He served on the Boards of San Francisco-based Industry Associations (Securities Operations Association, Association of Western Securities Managers) and various NASD/FINRA Committees. Currently, he serves on the FINRA Small Firm Advisory Committee and the Schwab Compliance Technologies Advisory Board (formerly Compliance 11).