William Edick is a partner with Pickard & Djinis, a Washington D.C.-based law firm. He specializes in regulatory and enforcement matters involving broker-dealers, investment advisers, hedge funds and issuers. Mr. Edick counsels clients on compliance and registration issues and represents clients before the SEC, FINRA, NYSE and other securities industry regulators. Prior to joining Pickard and Djinis, he was an analyst with the Market Surveillance Department of the NASD, where he specialized in insider trading investigations.

Peter Mafteiu has held a variety of executive and managerial positions in the Financial Services industry over the past 25 years, Mr. Mafteiu has a very broad perspective on compliance, operational, risk and related business issues. This perspective is a result of experience as a Chief Compliance Officer and Chief Operations Officer, and as a nationally recognized compliance, operations and business consultant. Mr. Mafteiu is a published writer and speaker through industry publications, conferences and training programs. He has the distinction to have acted as a Special Review Person under several SEC Enforcement Orders and as a trainer of SEC and NASSA examination staff.

Krista Zipfel is president and CEO of Advisor Solutions Group, Inc. (ASG), based in Newport Beach, Calif. ASG provides compliance and general business consulting services to investment advisers. Compliance services include registration assistance with the SEC and States, IARD/CRD filings, policy and procedure development, conducting annual reviews, and audit preparation. She founded ASG in 2003 after a decade of working for registered investment advisory firms in the areas of compliance, portfolio management, client service, marketing, research, portfolio administration, operations, trading, and accounting.

If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!

This webinar was originally recorded August 11, 2009, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.

• Chief Compliance Officers
• Compliance Managers
• General Counsel
• Senior Managers

One registration and a speaker phone is all you need!

The SEC has made clear it doesn’t want to see firms’ compliance efforts suffer in these tough times. Yet many CCOs are feeling the crunch from being forced to do more with less and to wear more hats than ever.

How do you do it all? We’ve crafted this webinar to help you enhance your compliance program even in these challenging times.

Recent enforcement cases have demonstrated the high costs when a CCO misses something in his firm. Yet perfection isn’t expected. So our expert speakers will discuss the parameters of what’s expected from a CCO and draw lines between approaches that would satisfy the pickiest examiner and ones that would attract the SEC’s ire.

You get realistic time-saving ideas that have been proven in practice, plus tools that will help you to do your job more efficiently.

Purchase the CD of the August 11 webinar, Ideas to Overcome Today’s Top Challenge for Compliance Programs: How to Do More with Less and discover:

• A risk-matrix you can use to secure a better handle on your firm’s compliance perils.
• Tips on how to become involved in management decisions at your firm before they raise compliance issues, when you should delegate some compliance responsibilities to others, and how to manage your role as CCO to avoid the dangers of a failure to supervise charge.
• Strategies to build stronger alliances and partnerships with traders, portfolio managers and others to enhance your firm’s compliance activities.
• A tested scheduling process that saves time while also minimizing the chances of missing substantial risks within your firm.
• Pointers to gain efficiencies by spreading out annual review responsibilities throughout the year.
• A primer on what’s really expected from the CCO role and a discussion of what makes for a reasonable compliance program.
• Lessons for CCOs from recent enforcement cases.
• How do you get a seat at the table for all the business activity of your firm.
• Resources to stay on top of new and emerging issues, e.g., proxy voting.
• And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Ideas to Overcome Today’s Top Challenge for Compliance Programs: How to Do More with Less for $195 [A1837CD].

3 Ways to Order
Order online | Call 888-234-7281 | Fax 301-287-2535
*Please allow 2-4 weeks for delivery

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Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
© 2009 IA Watch