2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators


Instructor: Lisa Marsden
Product ID: 704765

  • Duration: 60 Min
In this training program, attendees will learn how to gain access to the financial regulators priorities and understand how to apply those priorities to their firm. The program will also discuss incorporating the priorities into your annual review and identifying priorities that need to become part of the compliance manual/code of ethics.
Last Recorded Date: Jul-2016


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Why Should You Attend:

The financial regulators generate a list of exam and enforcement priorities each year. In this webinar, learn what each financial industry participant needs to know about the 2016 regulatory initiatives. Often we make assumptions about the exam and regulatory landscape based on past exams and regulatory events, but the world of regulation in finance is always evolving. It is in the best interest of the professional, their firm and ultimately for the sake of the investor to constantly stay alerted to these priorities. It is also important to learn from those that are involved in the day to day tasks of financial compliance.

Learning Objectives:

  • Learn how to gain access to the financial regulators priorities
  • Understand how to apply those priorities to your firm
  • Incorporate the priorities into your annual review
  • Distinguish which priorities need to become part of the compliance manual/code of ethics
  • Determine what your firm’s financial regulatory priorities should be
  • Other sources for annual priorities

Areas Covered in the Webinar:

  • US Securities and Exchange Commission Priorities
  • FINRA Priorities
  • Discussion on State Regulator Priorities
  • Implementing the Priorities
  • Effectively Communicating the Priorities
  • Background on the Priorities

Who Will Benefit:

  • Financial Advisory
  • Investment Management
  • Financial Compliance
  • Financial Audit
  • Financial Risk Management

Instructor Profile:

Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.

Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale’s annual conference, conducted training sessions on the financial regulations regarding cybersecurity.

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