Building a Gold Standard Compliance Program

Join us on Wednesday, October 4 at 11:00 AM ET as we continue our discussion on testing methodologies and parameters, provide suggestions on how to document the results of testing and monitoring, outline the crucial process for follow-up when errors or issues are found, and the process for defining how findings will be remediated.

Discussion topics

This webcast will focus on:

• Creating a testing schedule based on your firm’s specific risks and business practices
• Assigning responsibility for testing (and no, it is not always compliance)
• Making the most of your existing resources
• Developing reporting standards to make the annual review easier
• How regulators review testing results
• Dealing with persistent issues and converting compliance non-believers

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

• Cari Hopfensperger. Director, ACA Group

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