Lisa Kim Estrada

Kim is an Executive Consultant with Bekker Compliance Consulting Partners, LLC (BCCP), a global consulting firm catering to the financial services industry. She is also a Faculty Member & Instructor with Bekker Compliance Consulting (BCI), the training arm of BCCP which has a strategic alliance with GFMI. Kim is well versed in both domestic and international rules, laws and regulations for financial institutions and has been designing and delivering classes since 2001. Kim has over 13 years of experience in the financial markets. Kim’s areas of expertise include SEC and FINRA regulatory compliance in the following areas: SEC Investment Company Act of 1940 (IC Act), Investment Advisers Act of 1940 (IA Act), Securities Exchange act of 1934, and Securities Act of 1933, as well as FINRA’s regulations governing broker/dealers. Kim’s extensive 1940 IC Act expertise is focused primarily on hedge and mutual funds and variable insurance products. Kim also specializes in Dodd-Frank implementation, anti-money laundering, anti-fraud, commodities futures, and foreign exchange. Based on her educational background and in-depth knowledge, Kim is a highly sought after conference speaker, domestic and internationally. She is a published author and litigations consultant and holds membership in numerous professional organizations.