Conflicts of Interest in Financial Services; Identify, Eliminate, Mitigate and Disclose

Instructor: Lisa Marsden
Product ID: 705466
Training Level: Intermediate
  • Duration: 60 Min
Learn how best to identify, mitigate and make accurate disclosures of conflicts of interest.
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Why Should You Attend:

In the US Securities Exchange National Exam Program Risk Alert issued by the Office of Compliance Inspections and Examinations February 2017 “Five Most Frequent Compliance Topics Identified by OCIE Examinations of Investment Advisers” includes Inaccurate Disclosures of Conflicts. Take this webinar to learn help avoid a deficiency in this area.

This webinar will cover SEC regulations and requirements for financial advisers governing conflicts of interest. We will discuss best practices to follow, the documentation required and steps that you can take to identify, mitigate and make accurate disclosures of conflicts.

Areas Covered in the Webinar:

  • Definition of Conflicts of Interest
  • How to Identify Conflicts of Interest
  • General Conflicts for Investment Advisors/Financial Services
  • Eliminating the Conflict
  • Mitigating the Conflict
  • Disclosing the Conflict
  • Monitoring Conflicts

Who Will Benefit:

Registered Investment Advisors,Investment Management firms,Compliance Consulting Firms, Financial Planning Firms and Financial Audit Firms will benefit. Target personnel include:

  • Audit
  • Compliance Personnel
  • Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers
  • Client Service Managers
  • Accountants
  • Chief Operating Officers
  • Chief Executive Officers
  • Financial Planners
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. Prior to that, Ms. Marsden was in the C-Suite as a CTO, COO and CCO for Registered investment advisors in Florida. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation (IACCP®) and SHE IS ALSO A CFA, Investment foundations certificate holder. She also held positions in the Banking Trust industry for several years. Ms. Marsden is the 2017 president of the financial planners association of south florida

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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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