Image For Activity Cover
Conversation Circle - Compliance & Regulation
Conversation Circle Information

Advisors struggle to wrap their minds around compliance program management. Many advisors aren't interested in allotting the time necessary to learn about compliance. And while others have a genuine desire to operate their firm's compliance programs, they can't quite seem to find a rhythm of efficiency and confidence in their daily operations.  

Compliance program design refers to the process that a Registered Investment Advisor leverages to develop its compliance systems, processes, and procedures. In other words,  the process of evaluating the elements of a firm’s operations that will dictate the formation and ongoing supervision of the firm’s compliance program. 

In this conversation circle, we will discuss how your firm can leverage the various elements of compliance program design to tackle the challenge of executing supervision that is tailored to the needs of your firm specifically. 

Facilitator: Scott Gill
Audience: Everyone
Availability: No future session
Cost: FREE
Credit Offered:
No Credit Offered
Powered By