3:00 PM ET (2:00 PM CT, 12:00 PM PT)
Presented by: Darren Kane, Managing Partner, Mission Critical Services
1 NAPFA CE in A – Financial Planning Process and 1 CFP® CE
Member: $39; Non-Member: $59
Description:
Annual review of compliance policies and procedures. Identify compliance risks applicable to investment advisers. Design internal controls and learn mitigation steps to minimize and eliminate risks. Learn regulatory expectations in performing the annual compliance review. Overview of SEC’s new client testimonial rule change.
Learning Objectives:
• Document review of the compliance policies and procedures
• Learn how to conduct a gap analysis
• Examine new regulatory requirements and expectations
Speaker Bio:
Darren is a Managing Partner with Mission Critical Services, a leading compliance consulting firm providing problem-solving compliance solutions to a wide range of registered investment advisors. His core areas of expertise include: regulatory compliance and enforcement, cybersecurity, advertisement disclosures, forensic accounting and fraud investigation, litigation support and expert testimony, training, mock regulatory examinations, compliance testing and risk management assessments.
An experienced advisor and former senior officer with the United States Securities and Exchange Commission (SEC), Darren has extensive experience in the asset management industry resolving regulatory issues. He has advised investment advisors on the design, implementation, and maintenance of regulatory compliance programs, and assisted companies with strengthening their management of compliance, operations and IT risk management.