Building a Gold Standard Compliance Program

We're pleased to announce the launch of our new live webcast series "Building a Gold Standard Compliance Program." In this seven-part series, we'll discuss the framework for creating a best-in-class compliance program, including the initial setup, formalization, implementation, testing and internal controls, reporting, and engagement with regulators.

Join us on Wednesday, July 26 at 11:00 AM ET for our first session as we discuss the initial steps necessary to develop and organize a compliance program that meets the requirements of Rule 206(4)-7 of the Advisers Act.  

Discussion topics

This webcast will focus on the first steps, including understanding the regulatory requirements and risks specific to your firm’s business, and the selection of the Chief Compliance Officer. Together, we'll cover: 

• General Principles and Responsibilities
• Regulatory Requirements
• Fiduciary Obligations
• Risk Assessment
• Compliance Staff Selection 

Who should attend

This webcast is for CCOs, COOs, and GC's looking to launch or enhance their compliance program with tried and tested best practices and foundational concepts. Firms of all sizes, from start-ups to those with an AUM over $1B, are welcome to attend.

Speakers

• Jaqueline Hummel, Director of Thought Leadership, ACA Group   
• Myles Blechner, Director – Investment Advisory Consulting, ACA Group

All webcasts are recorded and will be sent to registrants following the broadcast.