Regulatory Compliance Association Reviews

Upgrading Your Portfolio Monitoring and Supervision Procedures™

Practice Edge 02

Upgrading Your Portfolio Monitoring and Supervision Procedures™

Date: February 24, 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 sets forth an introduction to the compliance function of monitoring investment activity of funds or accounts to ensure compliance with investment guidelines and restrictions. It has been developed for chief compliance officers, compliance directors and other compliance personnel of investment advisers, which have been tasked with the responsibility to monitor for portfolio compliance.

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

• The importance of monitoring for portfolio compliance
• What types of investment guidelines and restrictions an investment adviser should monitor
• Limitations in investment advisory agreements
• Restrictions on investments in certain industry or sectors
• Compliance with environmental, social, and corporate governance (ESG) principles
• The difference of monitoring pre-trade or post-trade
• Tools and techniques for portfolio compliance monitoring

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

Senior Fellow from Practice:
Steve Pulkowski, CPA, Senior Manager|FSO Advisory, EY

Guest Lecturers:

Kellen Carter, Esquire, JD, Manager|Wealth & Asset Management, EY, Former SEC Attorney
Jim Nee, Senior Manager|Wealth & Asset Management, EY
Brian Guzman, JD, Partner & General Counsel, Indus Capital Partners
Michael Sheehy, JD, Senior Vice President & Chief Compliance Officer, CoreCommodity Management