Compliance and Legal Trends

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Washington MCLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Washington State Bar Accredited CLE Sponsor. To view our full accreditation details please .

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About This Course

This CLE program will delve into the emerging trends, pivotal focus areas, and strategic initiatives that are currently shaping the landscape. Gain valuable insights from the panelists as they analyze the impact of these transformative changes on compliance practices. Discover how organizations are adapting, evolving, and effectively responding to the interplay of business dynamics, regulatory developments, and technology advancements.

This engaging discussion offers a unique opportunity to stay informed and ahead of the curve in the ever-evolving industry.

Lecturer Bios

Robert Colby Esq.

As Chief Legal Officer of FINRA, Robert Colby oversees FINRA’s rulemaking, interpretive, compliance, litigation, and commercial transactions functions, as well as FINRA’s Appellate Office, Departments of Advertising, Corporate Financing, and Dispute Resolution.

Previously, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters for financial institutions and markets.

Before joining Davis Polk, Mr. Colby served as Deputy Director in the SEC’s Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, markets, and clearing organizations. Before serving as Deputy Director, Mr. Colby was Chief Counsel, and Chief of the Market Structure Branch.

Mr. Colby received his J.D. cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.

Linde Murphy

Linde Murphy is Chief Compliance Officer for M.E. Allison & Co., Inc., a full service broker/dealer and Texas registered investment adviser. Founded in 1946, the firm also provides municipalities with advisory and underwriting services. In 2012, Ms. Murphy joined Presidio Financial Services as they began the CMA process to join M.E. Allison & Co., Inc. Ms. Murphy started her career in investments on a trading desk in Chicago in 1999 and has held positions in compliance, sales, business development and management.

Ms. Murphy graduated with honors from American University in Washington, D.C. with a Bachelor’s of Science in Business Administration focusing on international finance. In addition to the pertinent industry licenses, Ms. Murphy obtained the CRCP designation in 2014 after attending the FINRA Institute at Wharton on the FINRA Small Firm scholarship.

Peggy Ho Esq.

Peggy Ho joined Commonwealth in April 2021. She oversees the legal, anti-money laundering, and risk management functions for the firm and its related companies, bringing leadership, strategic acumen, and a deep understanding of the business to drive positive outcomes. Among her many responsibilities, she also guides the executive management team on strategic initiatives and regulatory issues, represents the firm before regulatory oversight bodies, and supervises a team of professionals responsible for all aspects of legal and risk management. Prior to joining Commonwealth, Peggy spent 14 years with LPL Financial, most recently as Chief of Staff for Compliance, Legal & Risk and Head of Government Relations. She began her career in private law practice at Ropes & Gray LLP.

Peggy is very involved in her community and current sits on the boards of the Asian American Lawyers Association of Massachusetts and the Wellesley Theatre Project. She is also the current Secretary for the Campaign for the Choral Endowment at Harvard University.

Peggy earned her A.B. from Harvard University and holds a Masters of Science in Foreign Service from Georgetown University’s School of Foreign Service and a Juris Doctor from the Georgetown University Law Center.

Jennifer Grego Esq.

Jennifer Grego is the Chief Compliance Officer and Head of Operational Risk for the Wealth Management Division of Morgan Stanley. Jennifer joined the Firm in 2005 in the Wealth Management Legal Department where she advised a variety of business units including field management and the private banking group. In 2012, Jennifer joined the Wealth Management Compliance Department and led teams responsible for digital strategy, international clients, stock plans, cash management and more.

In September 2018, Jennifer was named Deputy for the Department and, in June 2019, Jennifer assumed the role of Chief Compliance Officer. In July 2022, Jennifer also assumed responsibility for Operational Risk for the Division. Prior to joining Morgan Stanley, Jennifer worked as a litigation associate at private law firms and an enforcement attorney at FINRA. She earned her Bachelor’s Degree at Binghamton University in 1995, and her law degree at Boston University in 1998.

Evan Charkes Esq.

Evan Charkes is Managing Director and Associate General Counsel for Bank of America, and supports the US Merrill Lynch Wealth Management business, including as chief counsel to the firm’s Private Wealth Management advisors. Mr. Charkes has spent a significant portion of his career supporting wealth management businesses, including at Citi, where he was a Managing Director and Deputy General Counsel for its Global Wealth Management business. Mr. Charkes started his career as a litigation associate in private practice in New York City. With respect to participating in industry organizations, Mr. Charkes is a member of FINRA’s National Adjudicatory Council and is a former member of the FINRA Compliance Advisory Committee and FINRA International Committee.

Mr. Charkes also formerly served as the co-chair of the SIFMA Compliance and Regulatory Policy Committee and SIFMA Self-Regulation and Supervisory Practices Committee and has been a frequent speaker at the SIFMA Compliance & Legal Society annual seminar. Mr. Charkes also chaired the Insured Retirement Institute’s Securities Committee and has contributed numerous articles to the New York Law Journal and Wall Street Lawyer regarding securities law. Mr. Charkes is a member of the Board of Directors of the Pro Bono Partnership, a non-profit organization that provides legal services to nonprofit organizations in Connecticut, New Jersey, and New York.

Mr. Charkes is a graduate of Georgetown University Law Center and Columbia College.

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Compliance and Legal Trends

Washington MCLEAccreditation Info

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