FacultyFaculty/Author Profile
Regina G. Thoele

Regina G. Thoele

NFA
Senior Vice President, Compliance
Chicago, IL, USA


Regina G. Thoele is Senior Vice President of Compliance at NFA.  Her current responsibilities include overseeing the Compliance Department's exam, investigation, financial surveillance, and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA Member committees; participating in industry conferences; and developing and monitoring Compliance Department goals.  In addition, Ms. Thoele works with NFA’s Legal Department to develop rules and interpretive guidance, makes presentations to NFA’s Executive Committee and Board of Directors and to other outside organizations, and develops strategic plans and initiatives for NFA’s Compliance Department.  From July 1994 until March 1998, Ms. Thoele held the position of Arbitration Manager and was responsible for supervising staff and helping manage the Arbitration program.  Ms. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course. 

Ms. Thoele attended Indiana University and received a B.S. degree in finance.  Ms. Thoele also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners.  

Regina G. Thoele is associated with the following items:
Web Segment  Web Segment Derivatives-Related Regulatory Developments and Compliance Challenges - Private Fund Regulatory Developments and Compliance Challenges 2018, Thursday, February 01, 2018
MP3 Audio  MP3 Audio Derivatives-Related Regulatory Developments and Compliance Challenges - Derivatives-Related Regulatory Developments and Compliance Challenges, Thursday, February 01, 2018
Transcripts  Transcripts Derivatives-Related Regulatory Developments and Compliance Challenges - Derivatives-Related Regulatory Developments and Compliance Challenges, Thursday, February 01, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Derivatives-Related Regulatory Developments and Compliance Challenges - Derivatives-Related Regulatory Developments and Compliance Challenges, Thursday, February 01, 2018
On-Demand Web Programs  On-Demand Web Programs Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, February 07, 2018, New York, NY
Live Seminar  Live Seminar Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, New York, NY
Live Webcast  Live Webcast Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Indianapolis, IN
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Mechanicsburg, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Boston, MA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Philadelphia, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Pittsburgh, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Nashville, TN
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.