The Compliance Department

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The Compliance Department Incorporated once again hosted "The Mile High Compliance Workshop" June 17-18 -19, 2009 at the Brown Palace Hotel in downtown Denver, Colorado. Now in its 5th year, the workshop brought together Compliance Professionals from all facets of the securities industry. The workshop format created a unique meeting environment that maximized the exchange of information between both presenters and attendees as well as between the attendees themselves. As the securities industry weathers the challenges of a new presidential administration and the global shifts in how we do business as a result of the credit crises, the Mile High Compliance Workshop addressed the latest in regulatory, industry, administrative, and strategic issues impacting broker-dealers and investment advisor compliance programs. Participants took away a wealth of knowledge in addition to a reinforced network of fellow compliance professionals. Following on the successes of our previous Workshops and by popular demand, each session was designed to deliver best practices for the topic being discussed. Participants learned about the hottest industry trends and opportunities as well as recent changes in regulation and oversight. The Mile High Compliance Workshop is the most comprehensive program available - it is the only industry conference that brings together compliance professionals involved in all facets of the securities industry in one event! 2008 Mile High Compliance Workshop deemed a huge success With a near capacity group of compliance professionals gathered in Denver, Colorado, the 2008 Mile High Compliance Workshop delivered everything it promised plus an excellent networking opportunity. With topics ranging from branch audits to principle based regulation, participants had the opportunity to discuss in detail the tried and true practices of the past as well as the latest innovations. Special presentations included an update on current FINRA issues by Chip Jones, FINRA vice president for Member Relations as well as a very informative presentation from Fred Joseph, Colorado Securities Commissioner and President-elect of the North American State Securities Administrators. Comments ranged from great location to excellent ability to participate and interface with other participants as well as quality presenters with good experience. The Mile High Compliance Workshop is an annual presentation of The Compliance Department Incorporated and is held each June at the Brown Palace Hotel in downtown Denver. Watch this space for details on the 2009 workshop. David Peters joins The Compliance Department Incorporated David Peters a native of El Paso, Texas and most recently a resident of Portland, Oregon has joined the home office staff of The Compliance Department Incorporated and will be relocating to Centennial, Colorado. Most recently, David was the Compliance Officer of the Private Consulting Group Incorporated a Portland based broker-dealer with representatives and branch offices nationwide. David holds an MBA and the Certified Financial Planner designation as well as the Series 7, 24, 53 and 65 securities licenses.

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