Governance, Risk Management and Compliance
The SEC National Exam Program’s (NEP) Examination Priorities for 2014 identified Corporate Governance, Conflicts of Interest, and Enterprise Risk Management as one of “The most significant initiatives across the entire NEP… .”
In 2015, the regulators continue to stress the importance of building a strong, firm-wide approach to help integrate these three critical functions - governance, risk management and compliance.
This forum will include an exchange of ideas on how and where to find - and improve - the systems and processes to successfully build a unified approach for your firm.
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? How is the SEC planning to formalize governance structures in the future?
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 to help prevent the need for an even more complex structure
- Develop a firm-wide plan to engage each employee in a unified governance and compliance plan to address risk reduction strategies that help minimize regulatory, operational and reputational risk
For Whom: Designed to increase the professional competence of investment adviser and broker-dealer professionals with legal, compliance, technology and management responsibilities
Suggested Skill Level: Intermediate
Instructional Method: Group-Internet-Based
Pre-requisites for participation: No advance preparation or prerequisites are required.
Advance Preparation: None
Continuing Education Credits:
NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: Pending