THE SEC Exam and The Compliance Program- Learn about Regulators Exam Priorities
Duration : 60 Minutes
Lisa M. Marsden IACCP ®,
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 the Chief Operating Officer/Chief Compliance Officer of Financia Read more
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.
Course Objectives:
• The Regulations
• The requirements Reporting the Findings as required
• How to Design your firm’s Annual review
• How to effectively manage the review process
• Documenting the Findings
Course Outline:
• 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
Target Audience:
- Risk Managers
- Audit & Compliance Personnel
- Operations Managers
- Chief Operating Officers
- Attorneys
- Investment Management/Portfolio Managers
- Client Service Managers
- Accountants
- Chief Operating Officers
- Chief Executive Officers
- Financial Planners
- CPA Firms
What You Get:
- Training Materials
- Live Q&A Session with our Expert
- Participation Certificate
- Access to Signup Community (Optional)
- Reward Points
Please reach us at 1-888-844-8963 for any further assistance or if you wish to register
100% MONEY BACK GUARANTEED
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