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Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices

instructor
By: Lisa Marsden
Recorded Session
Duration
60 Minutes
Training Level
Intermediate to Advanced

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Webinar Details

In the US Securities Exchange National Exam Program Risk Alert issued by the Office of Compliance Inspections and Examinations February 2017 "Five Most Frequent Compliance Topics Identified by OCIE Examinations of Investment Advisers" includes Inaccurate Disclosures of conflicts. This webinar will help you how to avoid a deficiency in this area.

WHY SHOULD YOU ATTEND?

Undisclosed conflicts of interest can cause great harm to an advisor from a regulatory standpoint. Learn how to identify the conflicts mitigate and properly disclose. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm's overall compliance program.

AREA COVERED

  • Definition of Conflicts of Interest
  • General Conflicts for Investment Advisors/Financial Services

LEARNING OBJECTIVES

  • How to Identify Conflicts of Interest
  • Eliminating the Conflict
  • Mitigating the Conflict
  • Disclosing the Conflict
  • Monitoring Conflicts

WHO WILL BENEFIT?

  • Investment Advisors
  • Portfolio Managers
  • Financial Planners
  • Compliance
  • Operations
  • Compliance Consultants
  • Financial Services

Undisclosed conflicts of interest can cause great harm to an advisor from a regulatory standpoint. Learn how to identify the conflicts mitigate and properly disclose. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm's overall compliance program.

  • Definition of Conflicts of Interest
  • General Conflicts for Investment Advisors/Financial Services
  • How to Identify Conflicts of Interest
  • Eliminating the Conflict
  • Mitigating the Conflict
  • Disclosing the Conflict
  • Monitoring Conflicts
  • Investment Advisors
  • Portfolio Managers
  • Financial Planners
  • Compliance
  • Operations
  • Compliance Consultants
  • Financial Services

SPEAKER PROFILE

instructor

Lisa Marsden is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services, allowing the advisor to focus on what they do best, provide their client’s with exceptional financial services. Coulter Strategic Services also provides customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate, issued through the CFA Institute.

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