Building a Gold Standard Compliance Program, Session 2: Formalization

In the second of seven webcasts in the series "Building a Gold Standard Compliance Program," we focus on drafting policies and procedures. This includes identifying current processes, assigning responsibility, determining where records should be maintained, and level of detail. We will discuss standard operating procedures versus desk procedures, including what to put in your manual versus what to leave out. We will tackle setting up lines of responsibility, segregation of duties and other essential controls for an effective compliance program. Finally, we will talk about what the SEC expects to see in a compliance manual. 

Join us on Wednesday, August 23 at 11:00 AM ET as we outline the formalization stage of developing a compliance program that meets the requirements of Rule 206(4)-7 of the Advisers Act. 

Discussion topics

This webcast will focus on the first steps, including understanding the regulatory requirements and risks specific to your firm’s business, and the selection of the Chief Compliance Officer. Together, we'll cover:

• General Principles and Responsibilities
• Regulatory Requirements
• Fiduciary Obligations
• Risk Assessment
• Compliance Staff Selection

Who should attend

This webcast is for CCOs, COOs, and GC's looking to launch or enhance their compliance program with tried and tested best practices and foundational concepts. Firms of all sizes from start-ups to those with an AUM over $1B are welcome to attend.

Speakers

• Jaqueline Hummel, Director of Thought Leadership, ACA Group

All webcasts are recorded and will be sent to registrants following the broadcast.