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Compliance Program and Exam Readiness
- Understand what is required
- Creating a program
- Maintaining the Program
- Overall Firm Involvement
- Forensic Testing
- How often to conduct the review
- Who needs to be involved and/or informed
Overview of the webinar
Rule 17j-1. Effective Date: August 31, 2004. Compliance Date: January 7, 2005. Effective January 7th, 2005 registered investment advisers, had to comply by adopting and implementing written policies and procedures that are reasonably designed to prevent violations of the Advisers Act. The compliance program shall be designed to prevent, detect and correct violations of the Advisers Act. The overall compliance program must review those policies and procedures at least annually for their adequacy and the effectiveness of their implementation and designate a Chief Compliance Officer (CCO) to be responsible for administering the firm’s policies and procedures (under the “Compliance Rule” — Rule 206(4)-7). In order to have an effective compliance program, policies and procedures must be created. In order to ensure the compliance program is effective, an annual review is required.
Who should attend?
- Auditors
- Compliance Personnel
- Risk Managers
- Operations Managers
- Chief Operating Officers
- Attorneys
- Investment Management/Portfolio Managers
- Client Service Managers
- Accountants
- Chief Operating Officers
- Chief Executive Officers
- Financial Planners
- CPA Firms
Why should you attend?
The Annual Review is perhaps the most important aspects of an effective compliance program. Knowing how to properly create and maintain an effective review program for your firm is key to its success. Often it is helpful to get a third party to give you guidance in that area. This webinar will give you the tools you need to create an effective and manageable program.
The Regulations indicate that a manual is required. This session will give you the tools you need to design the manual that is customizable to your firm and ways it can be managed and tested to ensure its efficiency.
Faculty - Ms.Lisa Marsden
Lisa M. Marsden is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with Compliance and Project Management services. Prior to creating Coulter Strategic Services, Ms Marsden was a shareholder and member of the C-Suite for Financial Advisors in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms Marsden has a degree in Computer Programming from Keiser University and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She also held positions in the Banking Trust Industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management. Ms Marsden has moderated regulator panels and conducted many webinars related to compliance training.