Standard Tuition $400 US
Senior Fellow Daniel New, CPA, Partner, EY
The global regulation that has emerged since the financial crisis is the most rapidly evolving in nearly a century. This environment presents new challenges for compliance professionals as they navigate new regulations, implement new reporting processes within their organization, seek to create operational efficiencies and maintain an effective compliance program. This Course will bring together industry professionals to explore the regulatory reporting challenges faced by asset management firms and the lessons they have learned as they have worked to implement these reporting requirements.
Understanding these new regulations and their reporting requirements, as well as the complex data environment, are critical aspects of operating a strategic compliance program. This Course will also discuss common practices for compliance excellence and share methods for new reporting implementation. Students will hear what challenges firms are facing, what technology and operational strategies they are using to adequately address emerging risks and how they’re ensuring adequate policies and procedures are in place.
Students shall learn the following within this Course:
- Apply the lessons learned to your firm’s regulatory reporting process.
- Leverage common industry strategies to identify and overcome regulatory reporting challenges.
- Use the overview of what has and hasn’t worked to aid in your implementation of regulatory reporting changes.
- Expand your understanding of how firms have addressed both tactical and strategic considerations.
- Identify opportunities to leverage synergies across the regulatory reporting process.
- Adapt what other firms have done to seek efficiencies to enhance your firm’s regulatory reporting process.
- Translate the solutions used by other firms to help your firm address common data challenges.
Senior Fellows from Practice:
- Daniel New, CPA, Partner, Ernst & Young
- Mark Polemeni, JD, CCO, Citadel
- Danielle Ryea, Senior Manager, Financial Services, Ernst & Young
- George Kaczmarskyj, Executive Director, Financial Services, Ernst & Young
- Barbara Keller, CCO, Nomura
Credit Hours: 2
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information
Credit Hours: 3
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information
Course ID Number: 8470
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Please Note: The State Bar of 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.
*RCA will apply for credit upon request. Louisiana and New Hampshire: RCA will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: 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.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New 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.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: 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.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: 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.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: 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.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
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.