The Overall Annual Compliance Review - Latest Advisers Act


Instructor: Lisa Marsden
Product ID: 705016

  • Duration: 60 Min
This webinar will focus on compliance requirements to prevent violations of the Advisers Act. The training program will also discuss how to design your firm’s annual review and effectively manage the review process.
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Why Should You Attend:

Rule 17j-1. 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. The compliance program should 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).

This webinar will look at how, in order to have an effective compliance program, policies and procedures must be created. It will also explore the significance of an annual review to ensure the effectiveness of a compliance program.

Learning Objectives:

  • The regulations
  • The requirements
  • How to design your firm’s annual review
  • How to effectively manage the review process
  • Documenting the findings
  • Reporting the findings as required

Areas Covered in the Webinar:

  • Understand what is required
  • Creating a program
  • Maintaining the program
  • Overall firm involvement
  • Forensic testing
  • How often to conduct the review
  • Who needs to be involved and/or informed

Who Will Benefit:

  • Audit
  • Compliance Personnel
  • Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers
  • Registered Investment Advisors
  • Client Service Managers
  • Accountants
  • Chief Operating Officers
  • Chief Executive Officers
  • Financial Planners
  • CPA 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.If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).




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