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Building a Compliance Program

Compliance Key INC - Compliance Training Webinar


                                  Lisa M. Marsden
Lisa M. Marsden, IACCP, is Keynote speaker at Compliance Key, Inc. She 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 that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida.
 Webinar Id: CICLB005
 10:30 AM PT | 01:00 PM ET
 05/15/2018
 Duration 60 mins 
Overview
Whether you are creating a new compliance program as a new CCO or a new firm or if you are updating an existing program this webinar will guide you through the process.
Why should you attend this 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.
Areas Covered in the Session:
  • The Regulations
  • The requirements
  • How to Design your firm's Annual review
  • How to effectively manage the review process
  • Documenting the Findings
  • Reporting the Findings as required
  • How to Design your firm's document
  • How to keep it Simple
  • Manage the Manual
  • Test the Manual
Who can Benefit:

  • Chief Compliance Officer
  • Compliance Officer
  • Financial Advisors
  • Compliance
  • Legal
  • General Counsel
  • Compliance Operations
  • CPA CFP CFA IACCP
Compliance Key INC
717-208-8666

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