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MANAGEMENT

Donna Sardanopoli, Managing Principal

Donna Sardanopoli is the founding member of Regulatory Intelligence Compliance Solutions Inc. and has been working in the Securities industry for the past 20 years.

The first eight years of her professional life were spent working for the New York Stock Exchange where she was a Senior Compliance Sales Practice Examiner. For the next eight years she was a first vice president at UBS Financial Services Inc. (formerly Paine Webber), in charge of managing all regulatory examinations for the broker-dealer.

While at the New York Stock Exchange, Ms. Sardanopoli planned, conducted, and supervised routine and special examinations of NYSE and NASD brokerage firms in order to determine compliance with SEC, NYSE, NASD, CBOE, and MSRB rules. The Sales Practice Examinations of small, mid-size, and large firms included reviews of member firms' sales practices to insure compliance with established procedures and regulatory requirements. These reviews included but were not limited to Suitability, Unauthorized Trading, Excessive Trading, Misrepresentation, Mutual Funds, Underwriting Activities, Banking and Research, Anti-Money Laundering and Continuing Education. At the completion of each examination, she communicated the findings to senior management of the member firms, NYSE, and other regulatory agencies—both verbally and in written correspondence. Ms. Sardanopoli also assisted with ongoing training of new examiners.

At UBS Financial Services Inc., Ms. Sardanopoli mastered detail and organization, managing all regulatory examinations (NYSE, NASD, SEC, CBOE, CBOT and State Regulators) including focused exams i.e. Mutual Fund Breakpoints, Mutual Fund Market Timing, Anti-Money Laundering at the firm's main office, approximately 375 branch offices and all subsidiaries. She controlled the entire process by receiving the regulators' requests, coordinating the document production from various departments, reviewing documents in order to front run any findings the firm might have, and implementing corrective actions for such problems. Ms. Sardanopoli could anticipate requirements and items that the examiners would request, and therefore be able to review and correct any potential issues. Through thorough interviews, she prepared registered representatives for regulatory interviews, and was a part of the interview process. Upon completion of every exam, Ms. Sardanopoli would formulate the written response and implement corrective action in areas where the regulators found deficiencies.

MEMBERSHIPS AND ASSOCIATIONS:

National Society of Compliance Professionals (NSCP)
Securities Industry and Financial Markets Association (SIFMA)


 
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Branch Office Audit.PDF Branch-Office-Audit.pdf Independent-Test-for-Bank-AML-Program.pdf