- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
Michelle Heyne, CCO at McAdams Wright Ragen, a Seattle-based investment adviser and broker-dealer. Michelle has worked in the securities industry for over 25 years, beginning her career at a self-clearing discount broker where she oversaw internal controls for operational functions. In her 9 years as a consultant with advisers and broker-dealers, she focused on helping clients navigate regulatory complexity in a practical and systematic way.
Nancy Lininger is founder of the consulting firm The Consortium in Camarillo, Calif. With her broad-based background from stockbroker to compliance officer; broker/dealer and investment advisory operations; Nancy shares real life experience from the trenches. She is a member of the FSI Broker/Dealer Group and served on the Compliance Advisory Council, past President for the Ventura County Chapter FPA, and is a member of the National Society of Compliance Professionals. She has been involved with professional consulting organizations and National Speakers Association.
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 15 years with the firm, she was responsible for compliance, operations and performance composite maintenance and served as the firm’s CCO for the last four years of her tenure.
John McGovern is a managing director with Ascendant Compliance in New York. John brings over 25 years of industry and regulatory experience including being a Staff Examiner and Supervisor for FINRA; serving as SVP, CCO for Sunlife Financial Services' Broker Dealer and Investment Adviser; and as First VP, Network CCO for the AIG Adviser Group Network of broker dealers. John has broadband networking experience and is fully conversant in SEC and FINRA sales practice rules. He has developed extensively automated, risk-based broker dealer and investment adviser examination programs which allowed staff to more efficiently identify and remediate deficiencies. Among his accomplishments are the design and enhancement of broker dealer and investment adviser WSPs and compliance manuals, conducting FINRA 3010/12 as well as SEC Rules 38a and 206(4)-7 advisory procedures and testing, and conducting mock brokerage and RIA audits.
This webinar was originally recorded August 17, 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!
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.
One guarantee life holds is that SEC examiners will ask to review your compliance policies and procedures when they visit. Drafting, maintaining and revising P&Ps form a fundamental foundation of your job.
To reflect their importance, we put together a CD of the August 17th webinar to give you practical guidance for how to tackle this often daunting responsibility. Our panel of experts will share actual examples of real-life compliance policies and procedures, point out weaknesses common in many P&Ps, discuss how you can spot when it’s time to revise a policy and more.
Purchase the CD of the August 17th webinar, A CCO’s Guide to Compliance Policies and Procedures: Solid Drafting Tips, Key Samples, Mistakes to Avoid and More and take away practical ways to make your job easier with time-saving tips and pointers to help you develop a solid approach to compliance policies and procedures that will serve you for years:
- Mistakes to avoid when creating or revamping a compliance P&P
- Why SEC examiners are becoming more demanding during P&P reviews
- Examples of various policies and procedures, including client accounts, gifts and entertainment, custody, trading errors, supervision, privacy, best execution, personal trading and more
- The pros and cons of using off-the-shelf compliance policies
- Suggestions for how to make your P&Ps come alive within your firm on a daily basis
- A process for revising your policies each year – and the tell-tale signs when it’s time to reshape a P&P
- And much more.
YES, please rush me a copy of the CD containing the audio and speaker presentation materials of the webinar, A CCO’s Guide to Compliance Policies and Procedures: Solid Drafting Tips, Key Samples, Mistakes to Avoid and More for $195 [TA1995CD].
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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.
© 2010 IA Watch