Regulatory Compliance Association Reviews

Upgrading Compliance Process and Practice – Top Priorities For 2015™

Practice Edge 02

Date: July 9, 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

Become a Practice Edge Elite Member

Section 206 of the Investment Advisers Act of 1940 (the “Advisers Act”) requires every SEC-registered investment adviser to adopt and implement written policies and procedures reasonably designed to prevent violation, by the investment adviser and its supervised persons, of the Advisers Act and the rules that the SEC has adopted under the Advisers Act. While we tend to focus on keeping up with new regulations, risk alerts, priorities, and news stories and hot topics, it is equally important to understand how to respond to such events and developments and upgrade compliance policies and procedures in order to sustain a successful compliance program. This session attempts to translate compliance priorities into practical and actionable guidance that can help improve an investment adviser’s compliance processes. This session will serve as a forum for the panelists to share and discuss ideas and best practices for achieving this goal.

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

  • Comprehend the GIPS update.
  • Identify select areas of concern for compliance processes.
  • Apply methods to improve compliance processes.
  • Recognize the importance of consistency of disclosures.
  • Create action plans to enhance insider trading prevention practices.
  • Apply measures to foster a culture of compliance.
  • Appreciate the enhancement of risk assessment initiatives.

Session Chairman:

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

Senior Fellow from Practice:

Matthew Eisenberg,JD, Partner, Finn, Dixon & Herling

Guest Lecturers:

Beth Haddock, JD, Managing Director, Head of Institutional Compliance, Guggenheim Investments
Beth Kaiser, Director, Investment Performance Standards, CFA Institute
Moshe Luchins, JD, Chief Compliance Officer and Deputy General Counsel, Zweig-DiMenna Associates
Kathleen Olin, JD, Senior Counsel, CCO, Indus Capital Partners
Michael Sheehy, JD, Senior Vice President, CCO, CoreCommodity Management
Regina Thoele, CFE, Senior Vice President, Compliance, National Futures Association

Register Now