Preparing a Financial Industry Compliance Manual and Code of Ethics

Instructor: Lisa Marsden
Product ID: 704962
  • Duration: 60 Min
This training program will detail developing a compliance manual and a code of ethics for the financial industry, with the intent of clarifying the requirements of the Advisers Act. The instructor will also guide attendees on testing the manual, effectively managing it, and keeping it constantly updated.
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Why Should You Attend:

Rule 17j-1. Effective Date: August 31, 2004. Effective January 7th 2005 registered investment advisers, had to comply by adopting and implementing written policies and procedures that are reasonably designed to prevent violations of the Advisers Act.

This webinar will focus on how a compliance program must be designed to prevent, detect, and correct violations of the Advisers Act. The overall compliance program must review those policies and procedures at least annually for their adequacy and the effectiveness of their implementation, and designate a chief compliance officer (CCO) to be responsible for administering the firm’s policies and procedures (under the Compliance Rule — Rule 206(4)-7).

Learning Objectives:

  • The regulations
  • The requirements
  • How to design your firm’s document
  • How to keep it simple
  • Manage the manual
  • Test the manual

Areas Covered in the Webinar:

  • Understand the requirements of the regulation
  • Creating a manual from scratch vs. off the shelf
  • Maintaining the manual
  • Overall firm involvement
  • Testing the manual
  • How often to update the manual

Who Will Benefit:

  • Audit Personnel
  • Compliance Personnel and Consultants
  • Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers
  • Client Service Managers
  • Accountants
  • Chief Executive Officers
  • Finance
  • Financial Planners
  • CPA Firms
  • Registered Investment Advisors
  • Financial Audit Firms
Instructor Profile:
Lisa Marsden

Lisa Marsden
President and Founder, Coulter Strategic Services

Lisa M. Marsden, IACCP ®, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and compliance consulting firms with compliance and project management services as well as customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate, issued by the CFA Institute. She currently serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale.

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Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

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