Dave Banerjee, CPA Speaker Media Kit July 2015 - - PowerPoint PPT Presentation

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 -

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

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

Recent Speaking Engagements -

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

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.

Recent Speaking Engagements -

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

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

Recent Speaking Engagements -

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

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.

Years of Experience + Endless Possibilities

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

Advertising - Marketing Anti-Money Laundering Annual Reviews Business Continuity Compliance Roundtables Compliance Training Compliance Trends Conflicts of Interest Custody & Surprise Audits CyberSecurity Disaster Recovery Due Diligence Enforcement Issues Ethics Fiduciary Duty Fraud & Misappropriation Insider Trading Institutional Trading / Banks Large Firm Issues Marketing Mergers & Acquisitions Municipal Securities National Futures & CFTC OBA Outside Business Policies & Procedures Portfolio Management Pricing & Valuation Private Equity Regulatory Exams BD IA PF Regulatory Issues BD IA PF

Years of Experience + Endless Possibilities

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

Risk Management Senior Investors Senior Suitability Small Firms Social Media Soft Dollars Sub Advisors Suitability Supervision & Oversight Tax Issues Technology Third Party Oversight Trading Valuation Writing Policies & Procedures and more... Dodd-Frank Issuer Audits BD PCAOB Audits Surprise Custody Exams

Webinars Seminars Public Speaking Engagements On-Site Consulting & Training White Papers, Articles, Blogging

Speaking Reviews & Grades

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

Interactive Comfortable Practical View Point

2014 NSCP Conference Speaker Evaluation

Sense of Humor Good Action Items Expertise of Topic

Geographic & Demographic

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

Industry Panels Conferences Small to Mid Size Firms Service Providers Large Firms Expertise Presenting to Firms of all Sizes Available across the United States Los Angeles New York

• ffices in

Speaking Engagements in West Coast Mid-West East Coast Southern States

Dave Banerjee, CPA

Questions? Contact Dave at: (818) 657 0288 or email: dave@davebanerjee.com

Webinars Seminars Public Speaking Engagements On-Site Consulting & Training White Papers, Articles, Blogging

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