Dave Banerjee - NSCP 2017

Download the Advanced Investment Company Compliance Presentation – click here

October 16 – 18, 2017 | NSCP

2017 NSCP National Conference in Washington DC.

Dave Banerjee CPA will be a panel speaker with James Butz, SVP Compliance of US Bank.

Panel presentation: Investment Company Compliance – beyond the basics

Attend the panel for an advanced discussion of compliance challenges for mutual funds and investment companies. Determine high-level compliance risks and new regulatory focus.  Earn CPE credit.

October 17, 2017 –  11:25 am to 12:25 pm

Course Description:

Attendees will learn about how to apply advanced best practices to comply with investment company and mutual fund compliance rules.

Learning Objectives:

  • Discuss new SEC rules and rule proposals: enhanced reporting, liquidity risk management, derivatives, and business continuity
  • Examine intermediary oversight and the SEC’s distribution in guise
  • Analyze the oversight of funds’ service providers and sub-advisers
  • Mitigate conflicts of interest: auditor independence, side-by-side management, and affiliated transactions to advance your program

Register for the NSCP conference online at

www.nscp.org     National Society of Compliance Professionals


October 6, 2017 | Live Stream with FINRA CEO Robert Cook

Heritage.org is hosting a live stream event with CEO of FINRA Robert Cook. The live stream event “A New Direction for FINRA?” is a series in outreach by CEO Robert Cook to advance the FINRA 360 agenda which takes a thorough look into rules and practices of FINRA. Specifically, Robert Cook will address the regulatory burden on Small Broker-Dealer members.

Concerns are raised about FINRA’s lack of transparency – and the imposition of large regulatory burden on small broker-dealers.

Sign up at The Heritage Foundation

Oct 6 2017 - FINRA CEO Robert Cook


December 6, 2016 | CyberSecurity Webinar

Cybersecurity Risk Management Process – Evaluating Risks and Strengthening Governance


     Free Webinar | Hosted by NSCP (National Society of Compliance Professionals)

     Date & Time:  Tuesday, December 6, 2016   11am (PST)


Webinar description  Are you protected from Cyber Threats

As cyber-attacks evolve and escalate, so do techniques for developing sound cybersecurity procedures. Learn the forward thinking approach to cybersecurity that includes high level testing and diagnostics followed by gap analysis. This webinar is designed to brief regulatory compliance professionals and executives in determining which testing and analysis should be performed and how often; we’ll also tie it all together with cybersecurity governance to demonstrate how a robust program can be achieved with careful planning and strategic foresight.

  • Get actionable ideas on how to assess your cyber risks and understand diagnostics.
  • Prepare for the annual cybersecurity review and know what to include in the C-level analysis.
  • Develop an adaptive plan to expose threats and vulnerabilities and secure your environment.

Who Should Attend:  This webinar is designed to give financial service firms such as private equity fund managers and investment advisory firms with tools to evaluate risk and strengthen cybersecurity governance. Recommended for Compliance officers; CPAs with financial service clients; C-level executives (CIO, CTO, CFO, CEO); Partners, Principals, and Managing Members of Broker-Dealers and Investment firms or banks.


Register online


November 4, 2015 | Prepare for Audits

NSCP Conference – Gaylord Resort and Convention Center, National Harbor, MD   

Dave Banerjee | panel speaker at NSCP2015

Visit us at Booth 68

Panel presentation by:

◊  Dave Banerjee, CPA & CEO of RND Resources, Inc

◊  Robert (Bob) Maday, Deputy Director PCAOB


Prepare for Audits: Financial, Custody, Internal Controls. Hear from PCAOB on Guidance for Public Company Accounting Oversight Board (PCAOB) Inspections.

  • Overview of various audit types; financial, custody, internal controls
  • Understanding the audit process
  • Preparing for an audit (even a surprise audit)
  • The auditor’s report
  • Policies, procedures, and regulatory requirements

This panel qualifies for CE and CLE credit.

Missed the Conference Session?  Download the presentation & handout here

PCAOB Session handout

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Visit our booth #68 – at entrance near registration


NSCP National Conference | Sunday Nov 1-04, 2015 | Gaylord National Harbor Resort in Maryland, just minutes from Washington DC and Old Town Alexandria, VA.

NSCP is the most comprehensive educational offering within the financial services industry.

Conference consists of: Keynotes, Regulatory Panels, Workshops, Labs, and Roundtables which cover over 80 topics encompassing:

  • Broker-Dealers
  • Investment Advisers
  • Investment Companies
  • Municipal Advisors
  • Private Funds / Hedge Funds
  • Peer and Vendor networking opportunities
    • Led by experienced industry veterans who focus on practical implementation of compliance policies and procedures.

Get 15% off NSCP Conference Registration – Email us for details

Aug 11, 2015 – SEC Custody RegulationsSC-CG Compliance Meeting Aug 11 2015

Southern California Compliance Group – Newport Beach, CA


Panel discussion presented by:

◊  Dave Banerjee, CPA & CEO of RND Resources, Inc

◊  Bryan Baas Managing Director / Risk oversight & control at  TD Ameritrade


SEC Custody Rules: Rules and Best Practices for Advisers and Private Funds

Outline: Guidance and regulatory compliance considerations advisers, and advisers to private funds, face when dealing with custody regulations.



Standing Letters of Authorization (SLOA)

                When does a SLOA trigger custody, options for complying with custody rules, and terminating the SLOA.

Trustee Relationships

                When custody becomes custody and custody rules with regards to trust company’s, trust agreements, and qualified custodians.

Bill Paying

               An overview of bill paying rules by SEC and factors regarding custody. 

Independent Auditor – Considerations

                A discussion of safeguard rules required under the Advisor’s Act with regards to PCAOB registered Auditors and surprise examinations.

Custody Disclosures

                Considerations for filing Form ADV Part 1, Part 2, and E Surprise Examination report filing.

Practical Considerations

                Internal Controls Report, Due Diligence on Custodians, Cost of Audits, and more.

Dave Banerjee is CEO and Co-founder of RND Resources, Inc which provides customized compliance consultng, risk assessments, audit services, accounting, registration, and PCAOB services to securities firms. Read Dave’s profile.


Co-Panelist Bryan Baas will be addressing: Considerations when selecting a Custodian, Due Diligence on Custodians, and Bill Paying.

Bryan Baas is a 24 year veteran of the industry with the past 14 in risk management fields with brokerage firms providing custodial services to RIA’s.  He joined TD Ameritrade Institutional in January 2011 to lead and expand the Institutional Risk department. 

Southern California Compliance Group meets quarterly at 4 convenient locations throughout Southern California. Their mission is to provide an open venue for sharing superior, topical legal and compliance information with regional members in an enjoyable, cooperative team environment. 

For more information or to join SC-CG go to: www.sc-cg.org

Meeting Location: Pacific Life, 700 Newport Center Drive, Room 3-W, Newport Beach, CA 92660 [Fashion Island]. Call Tarik for more details: (818) 835-7105 or email: tarik@finracompliance.com

See more upcoming Roundtable Meetings here

CyberSecurity Webinar: June 23, 2015  Are you protected from Cyber Threats

Tuesday June 23, 2015 from 12:30 pm to 1:30 pm

NSCP hosted event. 

Cybersecurity today is not just an IT issue.  FINRA has taken a strong stand on cyber threat mitigation and expects firms to make cyber security practices a cornerstone of their business infrastructure.  Proper training of key employees and understanding of the issues involved will keep losses and risk at a minimum.

RND Resources, Inc. handles cybersecurity assessment and consulting for regulatory compliance and is committed to assisting securities firms with affordable, efficient solutions to protect data and stay in compliance. We assist in the following regulatory cybersecurity compliance areas:


  • CyberSecurity Governance & Risk Management
  • CyberSecurity Risk Management
  • Technical Controls
  • Incident Response Planning
  • Vendor Management
  • Staff Training
  • Cyber Intelligence & Information Sharing
  • Cyber Insurance Assessment

Get a quote or ask for more information,

Fields marked with an * are required

Dave Banerjee, CEO of RND Resources, Inc is a member of ISACA  Information Systems Audit and Controls Association








CyberSecurity + Risk Management


FINRA Sanction Guidelines – May 2015

event banner

Cybersecurity today is not just an IT issue.  FINRA has taken a strong stand on cyber threat mitigation and expects firms to make cyber security practices a cornerstone of their business infrastructure.  Proper training of key employees and understanding of the issues involved will keep losses and risk at a minimum.

Learn from Sylvia Scott, J.D., former FINRA and SEC enforcement attorney techniques to protect your firm from losses due to compliance and risk issues.

Special presentation from the FBI, Cyber Crime Unit will discuss current cyber threats, what to look out for and how to protect yourself and your clients from getting hooked in.

La Meer Inc, based in Silicon Valley, CA offers web based risk management software solutions and consulting for financial services. They offer solutions and services that incorporate best practices and requirements from regulatory authorities. Learn about the GRACE suite of products that help broker firms manage operational risk, due diligence, compliance, regulatory filings, and more.

New Session added:  FINRA Sanction Guidelines – May 2015. The May 2015 Sanction Guidelines include significant revisions to the recommended sanctions associated with fraud and material misrepresentations or omissions and violations of FINRA’s suitability rule. Additionally, the revised Guidelines also amend the “General Principals Applicable to All Sanction Determinations” by reinforcing FINRA’s emphasis that sanctions should be “significant enough to achieve deterrence, and not a mere cost of doing business.” Find out what you need to know about compliance and regulatory risk today.


Seminar: CyberSecurity + Risk Management + 2015 FINRA Sanction Guidelines

Date:  June 17, 2015 | 9:00 am to 3:30 pm

Location:  Woodland Hills, CA – Hilton Hotel

Presented by:  Dave Banerjee, CPA & Industry Speakers

  • FBI Cyber Crimes Special Agent
  • Former FINRA / SEC Enforcement Attorney
  • Lameera.com | Risk Management Software for Investment Professionals


Call us for more information (818) 657-0288