Dave Banerjee, CPA Speaker Media Kit – July 2015 www.finracompliance.com www.davebanerjee.com
Introduction – Dave Banerjee, CPA Working with Dave Banerjee, CPA - Dave Banerjee is an experienced consultant and seasoned public speaker with expertise in Regulatory Compliance issues as well as Tax Compliance and Foreign Investment concerns. Since 1984 Dave has been committed to serving the needs of firms subject to regulation by authorities like FINRA, PCAOB, and SEC. He has worked with over 300 securities and investment firms; helping with audit issues, compliance training, regulatory filing requirements and recordkeeping. Additionally he is an experienced CPA with tax compliance knowledge and has provided expert witness and litigation support in the regulatory field. Numerous series licenses and credentials speak for themselves of the vast knowledge Dave can bring to conferences and training programs. He has been well received at industry conferences as being an interactive speaker who offers actionable insight. As well as industry conferences, Dave regularly conducts training webinars on trending regulatory and tax topics, and provides leadership for compliance roundtable meetings in both Los Angeles and New York.
Biography – Dave Banerjee, CPA Dave Banerjee, CPA is a Co-founder and the CEO of RND Resources, Inc. Under Dave’s leadership, RND Resources, Inc. has provided customized compliance consulting, risk assessments, audit services, accounting, registration and PCAOB services to over 300 broker dealers, registered investment advisors, hedge funds, commodity trading advisors, commodity pool operators, futures commission merchants, banks, wealth managers, and insurance companies since 1984. Core Competencies: NMA, CMA, Supervisory Procedures, Continuing Education, Mock Audits, Compliance Controls, FINRA and SEC Exam Representations, PCAOB Audits, Engagement Quality Reviews, Litigation Support and Operations and Compliance Outsourcing. Member: PCAOB | AICPA | CA Society of CPA’s | NSCP | ISACA NSCP (National Society of Compliance Professionals), ISACA (Information Systems Audit and Control Association) Registered: FINRA since 1984 Licensed: CPA, | CA Insurance | Series; 4, 7, 24, 27, 53, 55, 63, 65, 79, 99
Audience Type - Broker-Dealers Compliance Consultants Hedge Funds & Private Trusts Investment Advisors Municipal Advisors Private Equity Firms Core Areas of Expertise - Regulatory Compliance Audits & Exams CyberSecurity Risk Management Tax Compliance Foreign Investments & Taxes Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Recent Speaking Engagements - NSCP - National Society of Compliance Professionals Webinar: CyberSecurity Risk Assessment for Investment Professionals An overwhelming majority of brokerage and investment firms have been the subject of a cyber- attack. Today’s firms must make cyber-security a cornerstone of their business infrastructure. The principles and effective practices covered in this Cyber-Security webinar will prepare you to recognize new areas of cyber threat risk and implement a smart cyber-security protection plan. Manhattan - New York Compliance Roundtable Presentation: SEC proposed FORM ADV changes May 2015, the SEC proposed changes to form ADV which were unanimously approved and will require more information about separately managed accounts, branch operations, and social media. Find out what changes to expect and how it will affect you. Prepare comments for the Federal register. Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Recent Speaking Engagements - Anaheim – NSCP Regional Conference, Mar 2015 Presentation: Broker – Dealers, Suitability and working with Customers Outline • What are regulators’ expectations • Issues concerning complex products (as defined by regulators) • Training expectations for supervisors and reps • Surveillance, including the use of technology and exception reports • Special considerations for clients with capacity issues Webinar Series Presentation: Regulatory Examinations Gone Bad A Cycle Exam may primarily focus on a firm’s financial and operational condition or, on it’s sales process, but not necessarily both. We can identify the type of exam and help you prepare…. Presentation includes: Exam preparation tips, handling Web IR requests, the exam exit meeting, understanding the examination report, disposition letters Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Recent Speaking Engagements - Webinar Series Presentation: CPA Audits for FINOP’s How to manage and achieve value from your required annual certified audit. Topics covered include; new audit requirements, the auditors role and limitations, FINOP’s responsibilities, broker-dealer reports, compliance reports, exemption reports, annual reports, notification of non-compliance, access to audit documentation, form custody, public accountants responsibility. Webinar Series Presentation: PCAOB for FINOP’s, a Necessary Update SEA Rule 17a-5(f)(2) requires firms to file a statement with the SEC in Washington D.C., as well as the regional SEC office, and its DEA that it has designated an independent public accountant responsible for performing the annual audit. Broker-dealers must also engage a PCAOB- registered independent public accountant to prepare a report based on a “review” of statements. Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Years of Experience + Endless Possibilities Advertising - Marketing Fraud & Misappropriation Anti-Money Laundering Insider Trading Annual Reviews Institutional Trading / Banks Business Continuity Large Firm Issues Compliance Roundtables Marketing Compliance Training Mergers & Acquisitions Compliance Trends Municipal Securities Conflicts of Interest National Futures & CFTC Custody & Surprise Audits OBA Outside Business CyberSecurity Policies & Procedures Disaster Recovery Portfolio Management Due Diligence Pricing & Valuation Enforcement Issues Private Equity Ethics Regulatory Exams BD IA PF Fiduciary Duty Regulatory Issues BD IA PF Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Years of Experience + Endless Possibilities and more... Dodd-Frank Issuer Audits Risk Management BD PCAOB Audits Senior Investors Surprise Custody Exams Senior Suitability Small Firms Social Media Soft Dollars Sub Advisors Suitability Supervision & Oversight Tax Issues Webinars Technology Seminars Public Speaking Engagements Third Party Oversight On-Site Consulting & Training Trading White Papers, Articles, Blogging Valuation Writing Policies & Procedures Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Speaking Reviews & Grades Interactive Sense of Humor Comfortable Good Action Items Practical View Point Expertise of Topic 2014 NSCP Conference Speaker Evaluation Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Geographic & Demographic Expertise Presenting to Firms of all Sizes Industry Panels Service Providers Conferences Large Firms Small to Mid Size Firms Speaking Engagements in East Coast West Coast Southern States Mid-West Available across the United States offices in Los Angeles New York Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
Dave Banerjee, CPA For more information Phone: 818 657-0288 or (818) 312-3283 Email: dave@davebanerjee.com Website: www.davebanerjee.com Website: www.finracompliance.com LinkedIn: https://www.linkedin.com/in/davebanerjeecpa Webinars Seminars Public Speaking Engagements On-Site Consulting & Training White Papers, Articles, Blogging Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com
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