Here's a compliance checklist for surviving the waves. This seemingly dry topic is nevertheless still the area most likely to get you in trouble during SEC examinations. Join this session and learn pro-active techniques to avoid problems and how to deal with the issue of electronic storage and retrieval issues. It will also identify what should be in your WSPs and how you should test them for consistency on a regular basis. You will be told how to correct your WSPs based on test results.
Firms offering mutual funds face more regulators and a higher level of regulatory scrutiny.
This session offers compliance officers a nuts and bolts review of the top ten areas of deficiencies common to firms offering mutual funds. Learn how to protect yourself and your firm in this difficult area. You will learn what to disclose, when to disclose and how to disclose. A major component of a broker dealer's system of supervision is an effective internal audit function. This session will review the items to examine to test compliance with the broker dealer's procedures and applicable regulatory rules.