HOW TO BE PREPARED WITH YOUR AML COMPLIANCE EXAM P 2016 - What we learned from 2015 and how to Apply the 2016 Exam Priorities to your Compliance Program - By Compliance Global Inc

Website https://complianceglobal.us/product/700516/LisaMMarsden/what-we-learned-from-2015-and-how-to-apply-t | Edit Freely

Category Finance; E-Learning

Deadline: August 24, 2016 | Date: August 24, 2016

Venue/Country: Online Webinar, U.S.A

Updated: 2016-07-25 14:26:38 (GMT+9)

Call For Papers - CFP

This webinar will discuss on the settled cases in 2015 as well as the regulators statistics, speeches and overall tone as well as what was on the 2015 radar and how those can be applied in the 2016 compliance programs.

It will also help guide you through the focus areas and provide tips on how to address each area.

Why Should You Attend:

Every exam like every examiner has its unique differences and opinions. Every year the focus may highlight different areas but that doesn’t mean the previous year’s focuses have been forgotten. If your annual review is not taking into account the focus areas of the regulatory programs on an annual basis, your review may be falling short of expectations.

Perhaps your firm was examined years ago and there were no reportable concerns. The compliance exam program, compliance risks, as well as compliance regulations are constantly changing and just because there wasn’t an issue last time does not mean there won’t be next time. With the regulators concentrated on more efficient and focused exams be sure your AML compliance program is in line with what the regulators are looking for.

Ensure that you understand the items in the priorities list from compliance prospective? Help ensure your firm is utilizing the best practices in designing the compliance program in order to address the priorities?

Areas Covered in this Webinar:

This Webinar will review the details of The 2015 Focus lists, key enforcement actions as well as speeches and actions of the examiners and how it can be applied in the 2016 compliance programs.

The regulators are concentrating on the firms Culture their AML policy if there Conflicts of Interests are properly disclosed and updated. There are concerns over how valuation determined. Regulators have included cyber security, third party vendor assessments and the overall technology management into their exam priorities and it is doubtful they will lighten up on that. There are many other areas of focus for 2016 and beyond that firms should ensure are incorporated into their Compliance Program.

Learning from the prior year will help guide the compliance program for the current year.

Learning Objectives:

• What did we learn in 2015 about the regulatory landscape and how can we best apply that knowledge in the current year

• How to use the annual exam priorities in the firm’s overall compliance program and what to focus on for the annual review

Who Will Benefit:

• Compliance Professionals

• Consultants

• Financial Service Industry Professionals

• Advisors

• Portfolio Managers

For more information, please visit : https://complianceglobal.us/product/700516/LisaMMarsden/what-we-learned-from-2015-and-how-to-apply-the-2016-exam-priorities-to-your-compliance-program/1

Email: supportcomplianceglobal.us

Toll Free: +1-844-746-4244

Tel: +1-516-900-5515

Level:

Intermediate

Speaker Profile:

Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services.

Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.

Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.

Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale’s annual conference, conducted training sessions on the financial regulations regarding cybersecurity.