Charles L. Bennett, President, Capital Markets Management Consultants LLC to Speak at TKG's event

NEW YORK - June 24, 2018 - PRLog -- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Charles L. Bennett, President, Capital Markets Management Consultants LLC will speak at the Knowledge Group's webcast entitled: "Leverage Technology to Improve the Effectiveness and Efficiency of your Employee Conflicts of Interest Monitoring LIVE Webcast."  This event is scheduled for Wednesday, June 27, 2018 @ 1:00 PM - 2:30 PM ET.

For further details, please visit:

https://www.theknowledgegroup.org/webcasts/employee-conflicts-of-interest-monitoring

About Charles L. Bennett

Charles L. Bennett is President of Capital Markets Management Consultants, LLC. He is a senior capital markets executive and securities lawyer with over 30 years' experience in all aspects of SEC and state blue sky laws and regulations as well as FINRA self-regulatory conduct rules. He serves as an advisor and consultant providing significant insights to clients on matters of corporate governance, institutional and retail compliance, risk management, automated supervision and compliance systems, due diligence investigations and reasonable basis inquiries. He represents broker-dealers and investment advisers primarily in the areas of broker dealer legal and compliance matters and corporate and securities law. He also specializes in advising clients on all aspects of SEC and FINRA rules and regulations related to institutional and retail sales practices, and financial and back office operations, including those rules related to investment banking, underwriting syndicate practices, real estate securities underwritings, and the filing and review of public and private offerings before FINRA's Advertising and Corporate Financing Departments.

Charles has been an Adjunct Professor at New York University since 2006, focusing his teachings on business and legal considerations related to creating equity investment opportunities in real estate and real estate related securities, including partnerships, TICs, LLCs and REITs.

About Capital Markets Management Consultants LLC

Capital Markets Management Consultants, LLC ("CMMC") provides expert witness testimony and litigation support services to both plaintiff and defense counsels. Such expertise includes assessment of institutional and retail sales practices violations, books and records and back office issues, as well as financial operations matters.  The Firm also specializes in the analysis of trading market violations such as insider trading, market manipulation and abusive market making activities.  CMMC routinely provides reports and analysis of monetary damages as well as the analysis of the available defenses that result from such matters. CMMC also provides legal expertise and regulatory consulting to SEC registered broker dealers and their associated persons, and registered investment advisors and their agents.

Event Synopsis:

In an increasingly regulated environment, financial institutions are focused on the management and mitigation of employee conflicts of interest and market abuse. However, many firms are still relying on inefficiency paper based processes or out-dated in-house compliance systems to mitigate risk and protect their business reputations. In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present an in-depth discussion of the best strategies and practices in applying technology to your employee conflicts of interest and market abuse compliance programs. Speakers will also provide practical tips to avoid potential risks and pitfalls.

Key topics include:

·         Identifying the key components of an employee compliance solution

·         Scope of monitoring

·         Integrating with existing systems

·         Sourcing good quality data

·         Making the business case for technology investment

·         Determining whether to buy or build

·         Looking ahead to the future of compliance monitoring

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 for an event, please visit: http://theknowledgegroup.org/all-events-list