You Know You Need to Improve Compliance Operations. How do you Confidently Move Forward in an Era of Change?
Like many in compliance, chances are that you’re not prepared for new SEC and FINRA data driven exams, which promise a vastly more automated approach to compliance. And with a stated goal of exams every two years for firms like yours, it’s not “if” but “when” you’ll face a more thorough exam than ever before.
Despite these changes, many in compliance are relying on outdated tools and processes such as spreadsheets or mock exams for investment operations, providing a false sense of security. It’s more important than ever to have a comprehensive and likely more automated approach to compliance.
This webinar provides actionable insights as to what measures your firm should take to assess its readiness and adapt its compliance operations. Best practices and proposed solutions will be discussed.
Note: This webinar took place Thursday, May 5th, 2016.
Key topics to be covered:
What do the latest SEC and FINRA exam technologies mean in practice?
What are the risks to my firm? What changes do I need to make?
Are random sampling with spreadsheets and mock exams for investment operations obsolete?
What steps do the experts recommend?
How can automated compliance reduce the risks associated with DDE and other advances in exam technology?
The business case for compliance automation
Who should attend:
- CEOs, Chief Compliance Officers and senior executives responsible for creating and managing compliance policy and procedures
- CFOs and IT executives searching for a compliance solution a compliance solution that enable cost savings
What you will take away:
- How to communicate to your colleagues the risks and operational imperatives created by deeper and more frequent regulatory scrutiny
- Tools you can use to self-evaluate current compliance risk and potential cost savings from greater compliance automation
- How you can increase compliance effectiveness in an era of declining fees
- How to make the case for compliance automation
Guy F. Talarico
Founder and Chief Executive Officer of Alaric Compliance Services LLC
One of the nation's leading regulatory compliance consulting firms, Alaric provides regulatory compliance support, including independent Chief Compliance Officers, to investment managers registered with the SEC, CFTC, NFA and FINRA. The Alaric client base includes many well-known and respected BDCs, hedge funds, registered investment advisors, mutual funds, ETFs, broker-dealers and private equity firms.
A sought-after speaker and writer, Mr. Talarico draws on three decades of legal, regulatory and compliance experience with major investment firms, including JP Morgan Chase. As a three-term member of the New Jersey State Assembly he sponsored numerous laws, including regulatory reforms of the insurance and banking industries. He holds a BS ChE from Lehigh University, an MBA from Fairleigh Dickinson University and a JD from New York Law School. He is admitted to practice in New York and New Jersey.
Principal, Financial Tracking Technologies LLC
Financial Tracking offers the most comprehensive all in one compliance platform built with a modular architecture for buy- and sell-side firms, other financial intermediaries and public companies worldwide. We rank first in automated compliance solutions that enable regulatory protection and operating cost cutting and serve the most clients. Clients include regulators, broker-dealers, mutual funds, money managers, hedge funds and public companies. FTT has earned the trust and commitment from some of the world’s most renowned, top tier clients who have found FTT’s patented compliance technology to exceed the performance of our competitors.
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