Risk & Compliance Committee

MISSION

The Risk and Compliance Committee is charged with responsibility for reviewing proposed and enacted state and Federal regulations, and for disseminating to the STA membership recommendations for complying with those regulations. Working with the STA Legal Committee, the Risk and Compliance Committee will also serve as the industry’s advocate in discussing proposed and enacted regulations with the requisite state and Federal authorities.

The Risk and Compliance Committee will also identify policies and procedures that are effective in deterring the various types of fraud that transfer agents experience today, and share those ideas with the STA membership.

The Risk and Compliance Committee is composed of representatives from STA members of all sizes to ensure that information is circulated to smaller members who may not have the resources to employ a full time compliance officer.

 

RISK & COMPLIANCE COMMITTEE MEMBERS

David L. Becker, EQ by Equiniti, Co-Chair

Richard L Johnson, Computershare, Co-Chair

Amanda W. Cardinalli, Nevada Agency and Transfer Company

David Chitty, American Stock Transfer & Trust Company

Thomas DiMarino, Kemark Financial Services, Inc.

Fred Epstein, ClearTrust, LLC

Robert Franz, Broadridge

Jason Gounaris, T. Rowe Price Services, Inc.

Ellen McCarthy, Computershare

4532 Lee Hwy #550  Arlington, VA 22207       202.794.7613       202.618.9561        LinkedIn