Michelle Kennedy, Assistant Vice President, WealthTrust, Greenwood, S.C. She focuses on affiliate compliance support and performance composite maintenance, including adherence to GIPS standards. She’s a former CCO responsible for compliance, operations and performance composite maintenance.
Veronica Stork, CCO, Trilogy Advisors, New York. Veronica joined Trilogy in October 2007 from The BISYS Group, Inc. (n/k/a Citi Global Transaction Services) where she was head of compliance for the Alternative Investment Services administration group, having originally joined BISYS in September 2000 as corporate counsel.
Alex Sabo, partner with Bressler Amery & Ross, Miramar, Fla. He is a member of the Securities Industry Association Law and Compliance Division and the Florida Securities Dealers Association, where he serves on the Board of Governors. He has long represented clients in the financial services industry in regulatory investigations and enforcement actions brought by the Securities and Exchange Commission and other regulators.
If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!
This webinar was originally recorded Tuesday, July 15, 2008, 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.
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.
- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
It’s required by the SEC and reveals much to examiners about your commitment to compliance. Gain a better understanding of how to improve your annual review from an experienced panel of speakers – plus get a chance to find answers to your toughest questions.
Four years after the SEC initially required the annual review, CCOs continue to struggle with satisfying the agency’s expectations. A recent SEC survey found 20% of firms didn’t even conduct annual review activities. And nearly half of firms examined received deficiency letters that referenced needed improvements to their annual review.
Our panel of experts shares best practices to help you achieve your annual review in the most efficient and practical manner – and wow examiners. This 90-minute CD-Rom will help you discover:
- The top 5 areas you must include in your reviews
- What constitutes a “triggering event” that warrants a new review
- Options for transactional and forensic testing and trends analyses to bolster your review
- How best to assess the worthiness of your existing policies and procedures
- How to know when to close the books on your annual review could present one of your biggest challenges in the review
- How the role of the CCO in annual reviews shifts depending upon the size of the firm
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar*, How to Conduct Efficient & Compliant Annual Reviews for $245 [A1550CD].
3 Ways to Order
Order online | Call 800-2601545 | Fax 301-287-2535
*Please allow 2-4 weeks for delivery.
© 2008 IA Watch