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Practical ways for Financial Services firms to prepare for a Regulatory Exam
Key Take Away:
This webinar will outline some ways your firm may be able to incorporate the annual review into your firm’s daily tasks to not create such a monumental annual task.
Firms are required to conduct an annual review, however there is not a lot of guidance on how this should be done.
Conducting the annual review without losing your sanity can be a tough feat for the Chief Compliance Officer, but with some planning and firm participation and doesn’t have to be.
Why Should You Attend:
The Chief Compliance Officer should document the annual review each year and ensure that all possible areas of risk, regulator focus and industry concern have been tested, documented and remediated.
This can be a huge undertaking for the CCO that is already wearing multiple hats. Learn how to manage the annual review as a project as opposed to a task.
Areas Covered In This Webinar:
The webinar will outline the areas to include in the review, what key areas should always be tested, how to incorporate other team members into the process and the best practices to document and summarize the review.
• How to create and maintain the firm’s annual compliance review
Who Will Benefit:
• Compliance Professionals
• Financial Advisors
• Audit Personnel
• Risk Managers
• Client Service Managers
• Chief Executive Officers
• Financial Planners
Lisa M. Marsden
Lisa M. Marsden, IACCP, 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 operations.
For more information, please visit
Toll Free: +1-844-746-4244
Contact the event managers listed below for more information about how you can participate at the Practical ways for Financial Services firms to prepare for a Regulatory Exam.
Client Service Managers
Chief Executive Officers
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