Instructor
TypeOnline Course
PriceFree
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Tuition Options

myUniversity™

PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow Ralph Mittl, CPA, Partner, EY

Developing a 206(4)7 Compliant Supervision and Remediation process involves being intimately familiar not only with the rules but also with the organization. In this course, senior fellows from practice provide in depth guidance regarding several key topics regarding creating and maintaining a compliant supervision and remediation process. Topics include the requirements of governance and oversight and the role of the CCO in developing reporting lines and supervisory structures as well as effective use of firm resources. Experts from the industry will outline the proper risk policies and procedures and how to develop proper controls through risk assessments. Industry leaders familiar with the various testing approaches and annual reviews will offer practical guidance about the process including the frequency and adequacy of the testing and internal coordination with auditing. The discussion will then focus on how firm’s will use the information from testing and annual reviews to strengthen and change policies and procedures and the importance of training and communicating a culture of compliance within the organization. Lastly, the session will highlight tools and technology firms can use to maintain a compliant supervision and remediation process.

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LEARNING OBJECTIVES

FACULTY

CREDIT INFO

ACCREDITATION

Course participants will be able to:

• Identify and explain the governance and oversight requirements
• Understand and explain risk policies and controls
• Identify testing approaches and explain the annual review process
• Assess compliance program enhancements and apply remediation procedures
• Understand the importance of training and communications
• Identify and be able to apply tools and techniques to developing a compliance process

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Senior Fellow:

  • Ralph Mittl, CPA, Partner, EY

Guest Lecturers:

  • Martin Schwartz, JD, CPA, CCO, Millennium
  • Matthew Siano, JD, Managing Director, GC, Two Sigma Investments
  • Dov Lando, JD, GC & CCO, MKP Capital
  • Gregory Pusch, JD, CCO, HarbourVest
  • HJ Willcox, JD, CCO, AQR Capital Management

 

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Accreditation Information

CLE Information

Credit Hours: 1
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 2
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

 

Course ID Number:  9435

 

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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.