FacultyFaculty/Author Profile
Peter D. Santori

Peter D. Santori

Jacobson Segal (HK), Ltd.

Chicago, IL, USA


Peter D. Santori is counsel in the international law firm Jacobson Segal (HK) Ltd. He is the former Executive Vice President and Chief Regulatory Officer of the Chicago Stock Exchange, Inc. (CHX), and served in this role from 2012 to 2017. In this role, Mr. Santori was responsible for the regulatory oversight of all CHX Participants to ensure that the trading activity on the facilities of CHX complies with all applicable CHX and SEC rules and regulations. Mr. Santori also served as CHX’s Chief Compliance Officer from 2012 to 2015, where he created, staffed and directed CHX’s compliance function, and was responsible for establishing and implementing policies and procedures reasonably designed to ensure that CHX fulfilled its compliance and regulatory obligations, and served as the primary point of contact for the SEC regarding CHX’s compliance and regulatory obligations. Mr. Santori previously served as Senior Vice President and Chief Legal Officer of thinkorswim Group Inc. in 2008 and 2009. At thinkorswim, Mr. Santori provided oversight, guidance, and direction regarding all legal, compliance, and regulatory matters for thinkorswim Group Inc. and its subsidiaries, including Investools, Inc. Mr. Santori previously served at FINRA from 1994 to 2008, and 2010 to 2012, where he held positions of increasing responsibility, culminating with the position of Chief Counsel to the Market Regulation Department. Mr. Santori received a B.S. in Finance from Saint Joseph’s University, an M.B.A. in International Business Administration from Temple University, a J.D. from the Widener University Law Center, and a Masters of Laws in Securities and Financial Regulation, and Taxation from the Georgetown University Law Center. Mr. Santori is a member of the Illinois, Maryland, New Jersey, and Pennsylvania bars.

Peter D. Santori is associated with the following items:
CHB Chapters  CHB Chapters Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017) (PowerPoint slides) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Web Segment  Web Segment Compliance and Legal Challenges Regarding Fintech - Financial Services Industry Regulatory Compliance Forum 2017, Monday, November 13, 2017
MP3 Audio  MP3 Audio Compliance and Legal Challenges Regarding Fintech - Compliance and Legal Challenges Regarding Fintech, Monday, November 13, 2017
Transcripts  Transcripts Compliance and Legal Challenges Regarding Fintech - Compliance and Legal Challenges Regarding Fintech, Monday, November 13, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance and Legal Challenges Regarding Fintech - Compliance and Legal Challenges Regarding Fintech, Monday, November 13, 2017
On-Demand Web Programs  On-Demand Web Programs Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 15, 2017, New York, NY
Live Seminar  Live Seminar Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New York, NY
Live Webcast  Live Webcast Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Philadelphia, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Pittsburgh, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Mechanicsburg, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Columbus, OH
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New Brunswick , NJ
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Cleveland, OH
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Nashville, TN
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Atlanta, GA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Indianapolis, IN
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