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.
The presentation materials will be available following the presentation by contacting Mr. Perry at email@example.com
A former federal enforcement attorney and veteran in regulatory compliance and white collar defense, Mr. Perry has expertise and consults with clients throughout the United States in areas of internal investigations, enforcement matters, regulatory issues, and corporate transactions, including advising on mergers and acquisitions in highly-complex regulatory structures. Specifically, Mr. Perry has a deep understanding and first hand experience with the Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act, antitrust, securities, financial institutions, and other emerging compliance and enforcement issues
Prior to forming Kennyhertz Perry, Mr. Perry was a senior vice president and chief compliance officer of a global financial services and FINRA member firm. He was responsible for all aspects of compliance and regulatory responsibilities for multiple registered investment advisors, mutual funds, alternative investments, and a broker-dealer. Mr. Perry focused on identifying and assessing the compliance risks of the firms, creating and implementing policies and procedures that address and allow compliance risks to be managed, and reviewing the policies and procedures to determine their continued adequacy and effectiveness.