Building a Gold Standard Compliance Program

Every compliance program should change and evolve based on testing results, regulatory changes, business and operational changes, and industry best practices.  So now that we’ve discussed how to develop a compliance program to comply with Advisers Act Rule 206(4)-7, the next step is keeping it up to date and relevant to your firm’s business and operations. 

Discussion topics

In this session, we will discuss:

• Understanding changes to your firm, including new business lines and products, expansion of business both geographically and through new client types, employee turnover, reorganizations, mergers and acquisitions, and adoption of new operational systems.
• Keeping up with new regulations, SEC interpretations, risk alerts and significant settlement orders.
• Learning from testing, monitoring, employee input and keeping your eyes and ears open.
• Introducing changes to the compliance program and getting buy-in from management and employees.
• Leveraging the annual review process to access more corporate resources.
• The pros and cons of compliance management systems to increase efficiency

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, ACA Group

Reserve your virtual seat for this insightful webcast by completing the registration form. Please note that while attendance is free, registration is essential to ensure you receive access to the webcast.

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