Anthony M. Palma

ANTHONY M. PALMA

Vice President

Morgan Stanley

New York, New York

(212) 276-3008

BACKGROUND

Anthony M. Palma is a Vice President in the Global Regulatory and Finance Division of Morgan Stanley, a global financial services corporation headquartered in New York, with 600 offices located in 36 countries.

Mr. Palma has over 30 years of banking and securities industry experience. He is currently responsible for Morgan Stanley’s compliance with Section 404 of the Sarbanes-Oxley Act of 2002, and his prior responsibility included implementing the Morgan Stanley Bank, N.A. Federal Deposit Insurance Corporation Improvement Act (FDICIA) compliance program.

Prior to Morgan Stanley, Mr. Palma spent 14 years at Citigroup in a succession of positions of increased responsibility in the bank’s Audit and Risk Review Division, leading to an appointment as a Global Risk Officer in the Global Wealth Management Division. He has also held positions earlier in his career in portfolio management, accounting and internal auditing.

Mr. Palma received a Bachelor of Arts degree in Economics from Fordham University and a Master in Business Administration degree in Accounting from the Fordham University Graduate School of Business Administration. He has participated in post graduate programs at New York University and the New School for Social Research, both in New York and Monmouth University in West Long Branch, New Jersey.

Mr. Palma is a Certified Financial Services Auditor (CFSA). He currently serves on the FIRMA Board of Directors, is Co-Chairman of FIRMA’s Development Committee and a member of FIRMA’s Marketing Committee. He is also a member of the Securities Industry and Financial Markets Association (SIFMA).

CANDIDATE STATEMENT

I have met the qualifications of and would like to be considered a candidate for a second term on the FIRMA Board of Directors:

·  A certified member of FIRMA in good standing;

·  Active in financial services fiduciary and risk management;

·  Received corporate support of the time and financial commitment required to serve on the Board of Directors

The positions I have held, and the experiences I have gained, in my career prepared me to make contributions to FIRMA and its membership. In the ever-changing regulatory environment we face, I want to continue building and maintaining FIRMA as the premier provider of current and relevant fiduciary and investment risk management education and networking opportunities for risk management professionals of banks, trust companies, investment advisors.

I respectfully submit this request to be considered for a second term on the FIRMA Board of Directors and would be honored to continue to represent our members.

Very truly yours,

Anthony M. Palma