One registration & a speaker phone is all you need!
- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
Karen Huey is the President and founder of Professional Compliance Assistance, Inc. (PCA) in Canton, Ga. She has previous experience in both the retail and research departments of several national brokerage firms. In addition, Ms. Huey managed the portfolio management, compliance, trading and personnel aspects of an investment advisory firm for six years, leading its development from a fledgling firm to one that today manages over $1 billion in client assets. Ms. Huey founded PCA in order to assist new and established investment adviser firms in all aspects of compliance. PCA performs annual reviews and employee training sessions for advisory firms, and also assists its clients with regulatory examinations.
Kathy Boyle Roman is vice president and CCO for RIA Valley Forge Capital Advisors. She joined Valley Forge as director of operations in 2004. Prior to this, she spent two years as a Realtor with Weidel Realtors in Pennington, N.J. For 10 years she worked as a financial consultant with Merrill Lynch, advising clients in the management of their investment portfolios. She holds series 7, life insurance and real estate licenses and belongs to the National Society of Compliance Professionals, the National Association of Female Executives, the Philadelphia Compliance Roundtable and has received the Investment Adviser Certified Compliance Professional designation.
Lori Renzulli isCCO and chief counsel with RIA Harding Loevner Management in Somerville, N.J. She has been with the firm since 2006. Prior to this she served as director of corporate ethics and compliance with the MetLife Group. She also spent more than 15 years with CitiStreet Retirement Services (formerly The Copeland Companies), serving as vice president, CCO & counsel and as assistant general counsel.
Amy Lynch is president of FrontLine Compliance, LLC, a regulatory compliance consulting firm based in Leesburg, Va., and has more than 20 years experience in the financial industry. She began her compliance career with the SEC’s Office of Compliance Inspections and Examinations, working in both the New York and Washington offices. At the SEC, she was responsible for conducting examinations of mutual funds, investment advisers, and insurance firms nationwide. She also served as compliance director and CCO for firms such as Mercantile Capital Advisors and E*Trade Financial. She later returned to the regulatory side with FINRA’s Enforcement Department in Washington.
This webinar was originally recorded February 16, 2010, 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.
If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!
The task is upon you again – to chart out your annual review for a new year. Resolve to make this one your best ever – with comprehensive guidance from industry pros that is guaranteed to save you time and effort.
Reserve your spot today for our February webinar, when you will hear various approaches to satisfying SEC requirements that you conduct an annual compliance review. You will get alternative routes to the same destination (a stellar annual review) and answers to the perplexing question “where do I begin?” and more.
Purchase the CD of the February 16th webinar, Produce Your Best Annual Review Yet: Pointers to Map Out Your Year in Compliance and discover:
- Dispel the myths around the annual review – and separate legal requirements from best practices.
- Discover multiple ways to assess your risks – as well as the merits of itemizing risks prior to, during or after the annual review.
- Hear different approaches to tackling the annual review, with special attention on how smaller firms can produce a great review on a razor-thin budget.
- Find out what SEC examiners are saying about firms’ annual reviews – what they like and don’t like.
- Benefit from proven approaches from CCO peers who share their time-tested techniques.
- See how to weave testing and documentation into your review, as well as implement time-saving tips.
- Know the true goals of an annual review and how to gain support from managers and staff.
- And much more.
The CD and workbook come with tools-you-can-use, including annual review questions and sample pages, a risk inventory guide and more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Produce Your Best Annual Review Yet: Pointers to Map Out Your Year in Compliance for $195 [TA1923CD].
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