MISSION

The Risk and Compliance Committee is charged with responsibility for reviewing proposed and enacted state and Federal regulations, and for disseminating to STA membership best practices for complying with those regulations. Working with STA's 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 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

Paul Capozzi, Computershare

David Chitty, EQ

Thomas DiMarino, Kemark Financial Services, Inc.

Alicia Eckman, Broadridge

Justin Frogner, EQ

Brett Higgs, Odyssey Trust

Ned Montenecourt, Vistra

Claire Myers, Fidelity Stock Transfer Solutions

Carol Won, Odyssey Trust