Description:

Risk Management takes on even greater significance in the post-Madoff/Stanford Financial world. Some may take comfort from the fact that these almost unprecedented episodes, as reported in the press, don’t really have practical compliance relevance for the “average” advisory firm. However, as the dust settles, it is safe to assume that heightened SEC and client scrutiny will be a fact of life in 2009.

There are lessons to be learned regarding enhanced due diligence and risk assessment. This seminar will look at how firms can implement a robust enterprise-wide risk and compliance system to reduce trading abuse, fraudulent employee activities, external fraud and theft of information, business disruption and other very real threats facing financial firms. Risk experts will identify areas of your business to examine and how you can implement, or improve, systems and processes that can prevent organizations from becoming another “headline casualty.”

For whom:

Compliance officers, legal counsel, internal auditors, managers and any person who has day-to-day risk management responsibilities.
 

Pre-requisites for participation:

No prerequisites are required. However, attendees can benefit by reviewing the Advisers Act of 1940, and the Securities and Exchange Act of 1934