Financial Regulator Priorities - SEC, FINRA, and State Regulators
Duration : 60 Minutes
Lisa M. Marsden IACCP ®,
Lisa M. Marsden is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with Compliance and Project Management services. Prior to creating Coulter Strategic Services, Ms. Marsden was the Chief Operating Officer/Chief Compliance Officer of Financia Read more
In this training program, attendees will learn how to gain access to the financial regulators priorities and understand how to apply those priorities to their firm. The program will also discuss incorporating the priorities into your annual review and identifying priorities that need to become part of the compliance manual/code of ethics.
The financial regulators generate a list of exam and enforcement priorities each year. In this webinar, learn what each financial industry participant needs to know about the 2016 regulatory initiatives. Often we make assumptions about the exam and regulatory landscape based on past exams and regulatory events, but the world of regulation in finance is always evolving. It is in the best interest of the professional, their firm and ultimately for the sake of the investor to constantly stay alerted to these priorities. It is also important to learn from those that are involved in the day to day tasks of financial compliance.
Course Objective:
• Learn how to gain access to the financial regulators priorities
• Understand how to apply those priorities to your firm
• Incorporate the priorities into your annual review
• Distinguish which priorities need to become part of the compliance manual/code of ethics
• Determine what your firm’s financial regulatory priorities should be
• Other sources for annual priorities
Course Outline:
• US Securities and Exchange Commission Priorities
• FINRA Priorities
• Discussion on State Regulator Priorities
• Implementing the Priorities
• Effectively Communicating the Priorities
• Background on the Priorities
What You Get:
• Training Materials
• Live Q&A Session with our Expert
• Participation Certificate
• Access to Signup Community (Optional)
• Reward Points
Who Will Benefit:
• Compliance Personnel
• Financial Advisory
• Investment Management
• Financial Compliance
• Financial Audit
• Financial Risk Management
• Attorneys
• Investment Management/Portfolio Managers/Research Analyst
• Compliance Consulting Firms
Please reach us at 1-888-844-8963 for any further assistance or if you wish to register
100% MONEY BACK GUARANTEED
Refund / Cancellation policyGet In Touch
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