Publications & Presentations

 

Please see below for a list of publications and presentations authored by Matt C. Dwyer.  

 

PRESENTATIONS

 

Dwyer, M.C., Small Firm Decisions:  Outsource or Automate?. National Society of Compliance Professionals Annual Meeting. October 2020 (Virtual).

Dwyer, M.C., From Reasonably Designed to Perfectly Designed: Best Practices for the Annual Review Process. Wolters Kluwer Practical Compliance. May 2015 (Webinar).

Dwyer, M.C., Cherrier, K. What You Need to Know About Suitability and Working with Customers. National Society of Compliance Professionals. May 2015

Dwyer, M.C., Ringo, W. Regulatory Trends and Updates. National Society of Compliance Professionals. April 2013

Dwyer, M.C., Mannon, J. 2012 Investment Adviser Chief Compliance Officer Priorities – Preparing for a Successful Year While Confronting Regulatory Change.

Wolters Kluwer Practical Compliance. March 2012 (Webinar).

Dwyer, M.C. , Downing, J. Conducting Broker-Dealer Compliance Testing and Risk Assessments.

National Society of Compliance Professionals. April 2011.

 

PUBLICATIONS

 

Dwyer, M.C. Planning & Conducting Annual Broker-Dealer Reviews. NSCP® Currents Journal. December 2013.

Dwyer, M.C. Preparing for Broker-Dealer Examinations. Wolters Kluwer Practical Compliance & Risk Management. April-May 2012.

Dwyer, M.C. Mysteries vs. Puzzles- Recognizing and Addressing the Differences

Between Compliance “Mysteries” and “Puzzles”. Wolters Kluwer Practical Compliance & Risk Management. September-October 2011.

Kotz, H.D. Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight. Wiley Financial Services Series. 2016. Quoted on pages 77-83.