Preparing a Financial Industry Compliance Manual and Code of Ethics and the Overall Annual Compliance Review

Lisa M. Marsden, IACCP, is Keynote speaker at ComplianceKey. She 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 that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operatio........


Building or Strengthening your firm's Compliance Program? Attend our virtual seminar on the best practices for preparing the manual, code of ethics and conducting the required annual review. You will receive tools to help build or strengthening your compliance program.

Why should you attend this webinar?

Rule 17j-1. Effective Date: August 31, 2004. Compliance Date: January 7, 2005. Effective January 7th, 2005 registered investment advisers, had to comply by adopting and implementing written policies and procedures that are reasonably designed to prevent violations of the Advisers Act. The Compliance program shall be designed to prevent, detect, and correct violations of the Advisers Act. The overall compliance program must review those policies and procedures at least annually for their adequacy and the effectiveness of their implementation, and designate a chief compliance officer ("CCO") to be responsible for administering the firm?s policies and procedures (under the "Compliance Rule"- Rule 206(4)-7). In order to have an effective Compliance Program Policies and Procedures must be created.

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Webinar Id: CIFLP008

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Duration: 60 mins

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 $167 (Single Attendee)  $599 (Unlimited Attendee)

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