Kennyhertz Perry Partner, Braden Perry, to Discuss Regulation S-ID with Kansas City Compliance and Legal Professionals

Kansas City, MO (July 7, 2012) –Braden Perry is slated to speak on July 25th to the Kansas City Compliance Group where he will provide the framework for the Regulation S-ID requirements, also known as the Identity Theft Red Flag Rules.

The presentation is designed for both compliance and legal personnel, and applies to any registered broker-dealer, registered investment company, registered business development company, or registered investment adviser that is a “financial institution, and will provide an overview of the provisions of the Regulation, focusing on keys to implementation and the requirements of the Regulation S-ID program.

Posted July 7, 2013 | by admin |in CFTC, Wealth Management

Federal Trade Commission Staff Test-Shopping Data Brokers

In May, the Federal Trade Commission (FTC) sent warning letters to 10 of the 45 data broker companies following a test-shopping operation, warning that their practices could violate the Fair Credit Reporting Act (FCRA).

The test-shopping operation was performed by non-attorney FTC staff members posing as individuals or representatives of companies seeking information about consumers to make decisions related to their creditworthiness, eligibility for insurance or suitability for employment.

Posted June 5, 2013 | by admin |in CFTC, Class Action Litigation, News

Former CFTC Senior Trial Attorney Returns to Private Practice

Kansas City, MO – Braden M. Perry, formerly an attorney with the U.S. Commodity Futures Trading Commission and later Senior Vice President/Chief Compliance Office of a global financial services firm, is now pursuing his own clients.

“I’m very excited,” said Perry. “This is obviously a wonderful opportunity for me as the only former Southwest Region Enforcement Attorney in private practice.”

Posted May 19, 2013 | by admin |in CFTC, News