Applying Strategic Thought to Enterprise Risk Management for Investment Advisers and Broker-Dealers
January 25, 2011
1:00 PM – 3:00 PM ET
Description: The first of three Risk Management forums will be an exchange of ideas on how and where to find - and improve - the systems and processes within firms that can prevent organizations from becoming another "headline casualty."
How can firms implement a robust enterprise-wide risk and compliance system to reduce risks against trading abuse, fraudulent employee activities, external fraud and theft of information, process management errors, business disruption and systems failures and other exposures?
Instructors will share their real-life experiences and practical expertise to help you avoid or mitigate significant, and even catastrophic, risk events.
After attending this course, attendees should be able to:
- Identify major risks within your firm
- Recognize the early signs of unusual risk exposure
- Develop a firm-wide plan to engage each employee in risk reduction strategies to help minimize operational and reputational risk
For Whom: Chief Compliance Officers, Legal counsel, Compliance Staff at all levels, Management, IT Personnel, Auditors
Suggested Skill Level: Basic to Intermediate
Instructional Method: Group-Internet Based
Pre-requisites for participation: No advance preparation or prerequisites are required.
Continuing Education Credits:
See NRS Continuing Education Guide
Recommended CPE Credit: 2
Order this Desktop on Demand