Regulatory Compliance Association Reviews

Building a Compliance Program to Support Expert Network Use™

Date: October 15, 2015
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours)? Attend via the RCA’s Online University (On Demand) — free for Practice Edge Elite Members

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This course will cover how compliance officers at investment firms are managing the risk of using expert networks through due diligence, layering custom controls over the controls of their expert network service providers and conducting real-time and post-consultation surveillance on their firms’ use of expert networks.

Students will master the following at the conclusion of this session:

  • Define appropriate internal controls for expert network service providers
  • Apply best practices for conducting due diligence of the service providers
  • Identify custom controls available to compliance officers through expert network services providers
  • Identify custom controls that investment firms may implement internally
  • Recognize potential hot button issues to consider in building a compliance program to support expert network

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Catherine Smith , JD, General Counsel, Guidepoint Global

Guest Lecturers:

Moshe Luchins, JD, Chief Compliance Officer and Deputy General Counsel, Zweig-DiMenna Associates
Cynthia Marian, JD, LLM, General Counsel & CCO, Civic Capital Advisors
Michael Neus, JD, General Counsel & Managing Partner, Perry Capital

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