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Understanding Regulation S-P
Privacy of Consumer Financial Information
Brice Prince
Special Counsel, Division of Trading and Markets
U.S. Securities and Exchange Commission
Brice Prince is a Special Counsel in the Office of Chief Counsel in the Division of Trading and Markets at the U.S. Securities and Exchange Commission (SEC). He joined the SEC in 2001 after private practice in the District of Columbia and, earlier, Boston. Mr. Prince has worked on a variety of matters at the SEC, including rulemaking projects relating to financial privacy, privacy notices, and affiliate marketing. He is a graduate of Syracuse University and the Northwestern University School of Law, and is a member of the Massachusetts and District of Columbia bars.
Patricia Albrecht
Assistant General Counsel; Office of the General Counsel
FINRA
Patricia Albrecht is an Assistant General Counsel with FINRA’s Office of General Counsel. Prior to coming to FINRA, she worked at the U.S. Securities and Exchange Commission in various offices and departments, including the Office of General Counsel and the Division of Market Regulation’s Chief Counsel’s Office where she served as a counselor to Commissioner Norman Johnson as well as working in the Office of General Counsel and the Chief Counsel’s Office of the Trading and Markets Division. Patricia’s subject matter expertise includes supervision and supervisory control requirements for firms and AML compliance, Regulation S-P, and ESIGN Act issues. Her previous work experience also includes serving in the Staff Attorney’s Office of the U.S. 5th Circuit Court of Appeals. She also served as a law clerk to the Honorable Harry Lee Hudspeth, United States District Court, Western District of Texas. Patricia holds her J.D. from the University of Texas at Austin.
David Medine
Partner,Regulatory and Government Affairs Department
WilmerHale
David Medine has a practice that focuses on consumer financial services regulatory matters, privacy, electronic commerce, and consumer protection. From August 2000 to January 2001, Mr. Medine served as a Senior Advisor to the National Economic Council at The White House, where he advised both the President and the Assistant to the President for Economic Policy, coordinated Administration policies on such issues as privacy, financial institutions, and expanding capital investment in under-served areas. He advised government agencies on implementation of electronic signature legislation and represented the White House in Congressional consideration of “spam” legislation.
Before working at the White House, Mr. Medine was for more than a decade the Associate Director for Financial Practices at the Federal Trade Commission, and led the Commission’s efforts to address online privacy. His responsibilities at the Commission included the development of policy and regulations, oversight of programs involving consumer financial services, privacy, and e-commerce, and enforcement activities in those areas. He participated in drafting the Gramm-Leach-Bliley financial privacy and the Children’s Online Privacy Protection Act (COPPA) regulations.
Mr. Medine has testified before Congress on numerous legislative proposals relating to Internet, privacy and consumer financial issues, and has been a frequent public speaker on related matters. He was selected for inclusion in Washington, DC Super Lawyers 2008 in the area of banking law; recognized as a leader in privacy and data security in the 2007 and 2008 editions of Chambers USA: America's Leading Lawyers for Business; selected by peers for inclusion in the 2006, 2007 and 2008 editions of The Best Lawyers in America in the area of banking law and selected by Washingtonian magazine as one of the "Top Lawyers" in Washington, 2004
Mr. Medine received his B.A. from Hampshire College in 1975 and his J.D. from the University of Chicago Law School in 1978. He taught law at both the Indiana University (Bloomington) School of Law, and at George Washington University National Law Center. Mr. Medine is admitted to the District of Columbia and Indiana (inactive) Bars.
Julianne Inozemcev
Partner, Financial Services Office
Ernst & Young LLP
Professional Experience
Julianne is a Partner in Ernst & Young’s Financial Services Office based in Boston. Julianne has over 14 years combined experience in financial audit, information systems risk management, and regulatory compliance in the financial services industry. Julianne is a Certified Information Systems Auditor (CISA), Certified Information Privacy Professional (CIPP) and a Certified Public Account (CPA).
Representative Experience
Julianne currently specializes in providing risk advisory and assurance solutions to financial institutions with diversified services and products including, banking, broker-dealer, investment advisor, asset management (traditional and alternative investments), credit lending, and third party administrators.
Julianne is knowledgeable of various state, federal, and international privacy and identity theft laws and leading practices adopted to protect consumers from harm and fraud. Julianne has leveraged her industry and regulatory experience to assist financial services companies with the development and deployment of appropriate corporate governance, policy management, business processes, Information Security Programs, and technology/systems platform integration.
Julianne has managed numerous projects for financial servicers clients and their business partners to integrate consumer protection policies and practices into an enterprise wide infrastructure, including the organization of people, business processes, and web/network based technology and security area. Specifically, Julianne has provided clients with the following services: Project Management, Incident Response and Complaint Handling, Call Center Scripting, Regulatory Compliance Implementation Assessments and Ongoing Monitoring, Privacy Education and Awareness Training, and Vendor Due Diligence Services.
Julianne has presented at a number of conferences and symposia on topics related to IT governance, data privacy, information technology, and eCommerce.
Education
Julianne has a Bachelors of Arts in Business Economics with an Accounting emphasis from the University of California, Santa Barbara.
Certifications/Associations
- Certified Public Accountant (NY. MA, and CA)
- Member, AICPA and ISACA
- Member, Women’s Bond Club, NY Chapter
- Member, Ernst & Young Advisory Gender Equity PMO and New England Professional Women’s Network
Other
Julianne lives in Norfolk, Massachusetts with her husband and two sons. She enjoys spending time with her family, reading, and exploring the outdoors.
Brian L. Rubin
Partner
Sutherland
Brian L. Rubin is a partner in Sutherland’s Washington, DC office. He represents companies and individuals being examined, investigated and prosecuted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and states. He also advises broker-dealers and investment advisers on federal and state regulatory and compliance matters. Recently, Brian tried a precedent-setting case against the SEC regarding Regulation S-P. He also successfully defended a firm and its president in a trial and an appeal brought by the SEC involving Class B share mutual funds.
In 2007, Brian was recognized in The Best Lawyers in America. He also won the 2006 Burton Award for Legal Achievement for co-authoring "The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD," published in the May 2005 issue of BNA's Securities Regulation & Litigation Report. Brian is also a member of the Board of Advisors of the Securities and Exchange Commission Historical Society.
Prior to joining Sutherland, Brian was the Deputy Chief Counsel with the NASD's Enforcement Department, where he managed attorneys and examiners in the Washington, DC, home office and in the district offices. In September 2002, he received the prestigious Excellence in Service Award for outstanding commitment and superior performance in support of NASD. He also received the NASD President’s Award for outstanding performance and dedicated service. Previously, Brian was Senior Counsel in the SEC’s Division of Enforcement, where he investigated and prosecuted violations of federal securities laws.
During his eleven years as an enforcement attorney with the SEC and NASD, Brian investigated and prosecuted numerous significant cases, including:
» The $1.4 billion global analyst/investment banker conflicts of interest settlement;
» Settlements and litigated actions against firms and analysts for drafting and distributing misleading research
reports, including a $15 million fine against one analyst and a $5 million fine against one firm;
» Settlements with firms for sales practice and supervisory violations in connection with variable life insurance
and variable annuities, including a $20 million fine against one firm;
» Global settlements with five firms totaling $8.25 million for failure to preserve e-mails;
» Settlement with firm, portfolio manager and supervisor for the fraudulent sale of a $1 billion mutual fund;
» Settlements and litigated actions against firms and individuals for misleading advertisements for mutual funds,
variable products and day trading strategies; and
» Insider trading cases, including one that led to the disgorgement and distribution of $1 million; and
Brian regularly speaks at securities conferences. He also often writes articles on enforcement, regulatory and compliance issues. Brian is a member of the Editorial Board of the Journal of Securities Law, Regulation & Compliance. In addition, he is a member of the Editorial Advisory Board of Practical Compliance and Risk Management for the Securities Industry.
Brian has a J.D. and an M.A. in Economics from Duke University. His undergraduate degree is from the Wharton School, University of Pennsylvania.
Regulation S-P
Speaker Agency, Organization,
and Firms:
U.S. Securities and Exchange Commission
Upcoming events.