Preparing a Financial Industry Compliance Manual and Code of Ethics and the Overall Annual Compliance Review
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. 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.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.Learning Objectives Understand what is requiredCreating a manual from Scratch vs. Off the ShelfMaintaining the ManualOverall Firm InvolvementThe Annual Review Process and Testing the ManualHow often to update the ManualWhat's requiredWho Should AttendAudit and Compliance Personnel/Risk Managers.Operations ManagersChief Operating OfficersCPA FirmsAttorneysInvestment Management/Portfolio ManagersCompliance Consulting FirmsOutsourced IT Firms/Cyber Security FirmsClient Service ManagersHuman Resources Personnel in Finance or ITIT, Accountants, Attorney’s, Investment Management and Financial Planning firms, Compliance firms
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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. 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.
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.
Learning Objectives
- Understand what is required
- Creating a manual from Scratch vs. Off the Shelf
- Maintaining the Manual
- Overall Firm Involvement
- The Annual Review Process and Testing the Manual
- How often to update the Manual
- What's required
Who Should Attend
- Audit and Compliance Personnel/Risk Managers.
- Operations Managers
- Chief Operating Officers
- CPA Firms
- Attorneys
- Investment Management/Portfolio Managers
- Compliance Consulting Firms
- Outsourced IT Firms/Cyber Security Firms
- Client Service Managers
- Human Resources Personnel in Finance or IT
- IT, Accountants, Attorney’s, Investment Management and Financial Planning firms, Compliance firms
