We’re very excited to announce our Keynote Speaker for our upcoming Annual Sales and Compliance Conference, which to be held on October 27, 2016.
The presentation, “Just the Facts Ma’am” will cover the two most pressing compliance issues of the day: DOL Fiduciary Rule and Cybersecurity.
Lisa will bring her industry insight regarding what may be the most substantial change to our business in decades, allowing for audience questions, hoping to unravel the complexities of the new DOL Rule. Then, to ice the cake, she will discuss important trends in cyber-security compliance for RRs and IARS.
Lisa Roth has been Vanderbilt’s key compliance consultant for many years. Lisa is the president of Monahan & Roth, LLC, a professional consulting firm that also offers expert witness testimonies and mediation services. Their focus is directed towards regulatory compliance, DPP due diligence reviews, cyber security, and suitability-related issues and resolutions.
Lisa has been engaged as an expert witness in over 150 testimonies. She has served as a hearing officer in over 20 panels as a member of the FINRA Board of Arbitrators and has been an executive team member at several brokerage and advisory firms. She has served as a member of the PCAOB Standing Advisory Group.
Lisa currently serves on several FINRA Boards, including the Membership Committee, the Committee to write the Compliance Official Examination, and the Small Firm Advisory Board, for which she also served as Chairman.
Lisa lives in California and is an active member of the San Diego Rowing Club. She has competed both nationally and internationally in Munich and on Henley-on-Thames, England. Lisa will be between races at the Head of the Charles in Boston and the Head of the Schuylkill in Philadelphia while she presents as our Keynote Speaker at this year’s Annual Sales and Compliance Meeting.
