Lisa Roth with Monahan & Roth, LLC to Speak at The Knowledge Group's Webcast

NEW YORK - May 10, 2017 - PRLog -- For further details, please visit:

https://theknowledgegroup.org/event-homepage/?event_id=2253

About Lisa Roth

Lisa Roth is the President of Monahan & Roth, LLC, a regulatory compliance company providing services including professional consultations, audit/independent testing, due diligence, training, and other compliance services. Ms. Roth also provides expert witness and other litigation support services. In business since 1999, Monahan & Roth's clients include industry leading financial services firms and law firms.

Lisa Roth is also the President, AML CO and CISO of Tessera Capital Partners, LLC a limited purpose broker–‐‑dealer headquartered in New York, having acquired an ownership stake in April 2016. Ms. Roth performs duties including anti–‐‑money laundering compliance, product due diligence, support of the oversight team, strategic planning and related services from her San Diego branch of the company.

About Monahan & Roth, LLC

Monahan & Roth knows compliance and understands the needs of a thriving business, so you can expect services to be delivered on time with the confidence and competence of a seasoned professional. Our consultants leverage successful past experiences with an active professional network to deliver a creative, current and custom tailored solution to each situation.

We are proud of our clients' successes and work hard to ensure the feeling is mutual. If you know our team, you know our broad expertise and personalized services. But if you do not already know us, we hope you will call for an introduction.

Event Synopsis:

In this LIVE Webcast, a panel of thought leaders, professionals, and practitioners assembled by The Knowledge Group will offer the audience with an in-depth analysis of the fundamentals as well as recent developments involving the heightened rules and regulations under the Financial Industry Regulatory Authority (FINRA). These well-versed speakers will present expert thoughts and opinions on the various aspects of FINRA investigations, examinations, settlement process, and recent case developments. Speakers will also provide a roadmap of practical tips on how a firm can establish and enforce compliance procedures and therefore, reduce the risk of regulatory actions in 2017 and beyond.

Some of the major key topics will include:

·         FINRA jurisdiction and regulatory authority

·         Handling a FINRA regulatory examination: What to do and not do

·         FINRA priority areas for 2017

·         FINRA on-the-record (OTR) examinations

·         When to self-report a violation to FINRA

·         Overview of FINRA Rule 2210, Communications with the Public

·         Regulatory Notice 17-06, Communications with the Public, Proposed Amendments

·         Regulatory Notice 17-18, Social Media and Digital Communications

·         Developing Effective Compliance Policies

·         Important Rule Changes

About The Knowledge Group/The Knowledge Congress Live Webcast Series

The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/