The Overall Annual Compliance Review - Latest Advisers Act
Instructor:
Lisa Marsden
Product ID: 705016
- Duration: 60 Min
Why Should You Attend:
Rule 17j-1. 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 should 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).
This webinar will look at how, in order to have an effective compliance program, policies and procedures must be created. It will also explore the significance of an annual review to ensure the effectiveness of a compliance program.
Learning Objectives:
- 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
Areas Covered in the Webinar:
- 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
Who Will Benefit:
- Audit
- Compliance Personnel
- Risk Managers
- Operations Managers
- Chief Operating Officers
- Attorneys
- Investment Management/Portfolio Managers
- Registered Investment Advisors
- Client Service Managers
- Accountants
- Chief Operating Officers
- Chief Executive Officers
- Financial Planners
- CPA Firms
Lisa Marsden
President and Founder, Coulter Strategic Services
Lisa M. Marsden, IACCP ®, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and compliance consulting firms with compliance and project management services as well as customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms 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, issued by the CFA Institute. She currently serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale.
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