Building a Gold Standard Compliance Program

Tune in Wednesday, October 25 at 11:00 AM ET to hear from ACA Group’s Jacqueline Hummel, Director of Thought Leadership and Krista Zipfel, Director, Regulatory Compliance as they discuss critical strategies for engaging with senior leaders to help enhance your compliance program.

Discussion topics

During this session, we will discuss:

• Effective Communication: Learn when and how to report findings from compliance testing to your firm's management.
• Building Strategic Alliances: Discover the art of creating networks within your organization to ensure that compliance is a vital presence in discussions.
• Drafting the Annual Review: Master the intricacies of crafting the annual review and updating your compliance program.
• Selecting Compliance Management Systems: Gain insights into selecting the right compliance management systems for your organization's specific needs.
• Ethical Enforcement: Delve into considerations for enforcing the Code of Ethics and compliance policies and procedures.

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
• Krista Zipfel, Director, Regulatory Compliance, ACA Group

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