This webinar will discuss on the settled cases in 2015 as well as the regulators statistics, speeches and overall tone as well as what was on the 2015 radar and how those can be applied in the 2016 compliance programs.
It will also help guide you through the focus areas and provide tips on how to address each area.
Why Should You Attend:
Every exam like every examiner has its unique differences and opinions. Every year the focus may highlight different areas but that doesn’t mean the previous year’s focuses have been forgotten. If your annual review is not taking into account the focus areas of the regulatory programs on an annual basis, your review may be falling short of expectations.
Perhaps your firm was examined years ago and there were no reportable concerns. The compliance exam program, compliance risks, as well as compliance regulations are constantly changing and just because there wasn’t an issue last time does not mean there won’t be next time. With the regulators concentrated on more efficient and focused exams be sure your AML compliance program is in line with what the regulators are looking for.
Areas Covered in this Webinar:
This Webinar will review the details of The 2015 Focus lists, key enforcement actions as well as speeches and actions of the examiners and how it can be applied in the 2016 compliance programs.
The regulators are concentrating on the firms Culture their AML policy if there Conflicts of Interests are properly disclosed and updated. There are concerns over how valuation determined. Regulators have included cyber security, third party vendor assessments and the overall technology management into their exam priorities and it is doubtful they will lighten up on that. There are many other areas of focus for 2016 and beyond that firms should ensure are incorporated into their Compliance Program.
Learning from the prior year will help guide the compliance program for the current year.
• What did we learn in 2015 about the regulatory landscape and how can we best apply that knowledge in the current year
• How to use the annual exam priorities in the firm’s overall compliance program and what to focus on for the annual review
Who Will Benefit:
• Compliance Professionals
• Financial Service Industry Professionals
• Portfolio Managers
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.
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