Elements of an effective compliance system (Session B: In-Person)

The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

Who should attend:

Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

Benefits:

• Gain insight into expectations on the policies and procedures manual and the role of the compliance officer, including the requirement of the compliance officer to report to the Board
• Hear about emerging issues that may require consideration from a compliance standpoint, and the associated regulatory expectations

Presentation Material

• Slides: Effective Compliance Systems Outreach
• Exhibit 1 - CCO annual report to board
• Exhibit 2 - Expectations for content of a written compliance policies and procedures manual
• Webinar video - Elements of an Effective Compliance System