Regulatory Compliance Association Reviews

Risk Inventory for Investment Advisers™

Practice Edge 02

Risk Inventory for Investment Advisers™

Date: February 10, 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 the process and key elements of developing a risk inventory to support an investment advisers compliance program. 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 identify and manage certain risks as part of the investment advisers’ compliance program.

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

• Why investment advisers need to create a risk inventory
• Key elements of a risk inventory
• The steps to create a risk inventory
• How to use final your risk inventory to enhance compliance program

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

Senior Fellow from Practice:
Michael Barnes, Senior Manager Financial Services Regulatory Practices, EY

Guest Lecturers:

Reed Brodsky, JD, Partner, Gibson Dunn & Crutcher, Former Assistant US Attorney, SDNY

John Thomas, CPA, Managing Director, BNY Mellon Asset Management

Peter Tsirigotis, JD, Counsel, Stradley, Ronon Stevens and Young

Scott Zimmerman, CPA,Partner, FSO, Private Equity Assurance Leader, EY