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Showing posts with the label General Counsel

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: A...