Michelle Kennedy is president of the consulting firm Compass Compliance Services based in Greenville, S.C. She formerly served as head of Compliance Support Services at WealthTrust. She also has been vice president of Greenwood Capital Associates, a registered investment adviser. During her fifteen years with the firm, she was responsible for compliance, operations and performance composite maintenance and served as the firm’s Chief Compliance Officer for the last four years of her tenure. Ms. Kennedy is past president and secretary of the Advent User Group, a national investment management back office user organization.
David Hunt currently serves as the Deputy Chief Compliance Officer of NFJ Investment Group L.P., an affiliate of Allianz Global Investors. David has over 12 years of experience in compliance, operations and client services. Prior to joining NFJ in January 2008, he served as the Chief Compliance Officer, and Deputy Chief Compliance Officer of multiple advisory firms, including affiliates of Wachovia Securities in Charlotte, N.C., and SunTrust Bank in Atlanta, and Dreyfus Funds in Denver. Hunt holds the Series 7, 24, 27, and 66 licenses.
Patrick Dennis is the founding principal & managing director of Oyster Consulting in Richmond, Va. Patrick has been involved in the securities industry for more than 23 years. Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities. Patrick moved to Wachovia (or its predecessors) in 1998, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm. Patrick began his career in 1986 as a Staff Attorney at the SEC’s Division of Corporation Finance in Washington. He then became a Corporate and Securities Associate at the D.C. office of Cadwalader, Wickersham and Taft where he was involved in mortgage-backed securities and commodity pool offerings and corporate governance issues. Patrick returned to the SEC in the Division of Enforcement from 1991 through 1996 where he worked on a variety of cases including complex financial fraud, insider trading and revenue recognition.
Verna Ramirez joined Angelo, Gordon & Co. in 1999 as the firm’s Chief Compliance Officer. She oversees all compliance related issues at the firm. She holds a B.A. from Amherst College and a J.D. degree from University of California, Hastings College of the Law. Verna is NASD licensed as a General Securities Representative and General Securities Principal.
If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!
This webinar was originally recorded February 17, 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.
to Listen in
- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
Regulators expect you to use forensic testing to spot and fix holes in your firm’s compliance program.
Testing doesn’t have to be as hard as you may think. This webinar hands you workable ways you can improve your program with specific tests that address common and ongoing compliance hurdles, everything from deviations from firm norms to personal trading, insider trading to the trade blotter.
Purchase the CD of the webinar and walk away with examples of tests you can employ, just in time to bolster your annual review for 2009 and help tackle your toughest challenges in the year ahead.
Order the CD of New Ideas to Jumpstart Your Program with Effective and Workable Forensic Testing and find out:
- How the SEC defines forensic testing and what it considers the three essential components of each test
- Ways you can compare staff transactions to reveal any potential personal trading violations
- Pointers on how to properly document the scope of your tests, your findings and follow up
- Advice on how to judge whether your tests are truly meaningful or not even worth your time
- Techniques to search e-mails for suspicious content and event-driven keywords
- Tests for areas that can easily be missed by compliance officers, such as Reg M
- How the SEC is likely to ask about forensic testing during exams
- Six areas the Commission regards as ideal for forensic testing
- And much more.
BONUS: Your handout includes a list of forensic tests.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, New Ideas to Jumpstart Your Program with Effective and Workable Forensic Testing for $245 [A1718CD].
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