Effectively Integrating Forensic Testing to Your Compliance Program
Steer Clear of Serious Pitfalls by Implementing Forensic Testing!
March 18th, 2010
1:30 P.M. ET
Length: 100 minutes
| Earn 2 CPE/ CLE Credits for attending this webinar! |
Whether you’re a registered investment fund or advisor it’s not only required by the SEC to have a forensic testing plan in place but it’s also extremely critical when ensuring that your compliance policies are in fact effective… which is something that you simply can’t afford to overlook these days. The trouble is HOW do you successfully implement forensic testing to your plan?
Due to overwhelming demand, Financial Research Associates is pleased to bring you exceptional guidance on putting this together in our latest webinar -
Effectively Integrating Forensic Testing to Your Compliance Program.
Hear from some of the industry’s most respected authorities on compliance issues and get the absolute latest SEC guidance as well as practical, real-world examples on how to implement forensic testing to the following:
- Portfolio Management
- Brokerage
- Valuation
- Personal trading
- Safety of client assets
- Marketing
- Form ADV and record-keeping
…And more!
In just 100 minutes, and without even leaving your office, you’ll get a complete understanding of how to put together an effective and realistic testing program while ensuring that you’re getting the most out of your compliance plan. Save yourself a major headache by learning the absolute best practices of implementing this necessary responsibility.
Presenters:
Richard Marshall, Partner, ROPES & GRAY LLP
Uzi Rosha, Chief Compliance Officer, CARVAL INVESTORS
Jeffrey C. Morton, Partner, ACA COMPLIANCE GROUP
Other speakers TBA…
Register Today!
Individual Registration - $295
*Group Registration Options - $1,995
Access for 45 or fewer attendees from the same company. For group registrations of 45 or more, please contact Kathie Eberhard at 704-341-2439 or keberhard@frallc.com.
*Please note when registering delegates under Group Registrations you must submit an advance list of attendees from your organization including email address and name.
Earn CLE & CPE Credits
Financial Research Associates is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Ave. N, Suite 700, Nashville, TN, 37219. NASBA phone number: 615-880-4200; website www.nasba.org.
Sponsored learning activities are measured by program length, with one 50-minute period equal to one CPE credit. One-half CPE credit increments (equal to 25 minutes) are permitted after the first credit has been earned in a given learning activity. Please note that not all state boards adopted this rule. Some participants may not be able to use one-half credit increments. These courses are offered as group-live courses and do not require prerequisites or advance preparation. They are an intermediate level course.
The recommended CPE credit for this webinar is Specialized Knowledge and Education for a total of 2 credits. For more information regarding administrative policies such as complaint and refund, please contact our offices at 800-280-8440.
Financial Research Associates' hardship policy is handled on a case-by-case basis. For those who cannot afford the standard fee to attend, our executive committee reviews each request for a reduced fee and will in nearly all cases accommodate the person needing to attend at a reduced fee. This reduced fee is determined by contacting the person directly and determining how much s/he can afford to pay. Typically, sole practitioners or attorneys in offices with fewer than 5 employees with revenues of less than $500,000 per year are entitled to a 20% discount.
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