Breakout Session

Tips for Addressing Commonly Overlooked Gaps in Your Compliance Policies and Procedures

Level of Complexity: Intermediate

Speaker(s)

• 

  Brian Edstrom, JD

  Attorney and Shareholder
  Avisen Legal, P.A.
• 

  Keith Loveland, JD, AIFA, CIDA

  Attorney
  Loveland Consulting
• 

  Melissa Glennie

  Chief Compliance Officer
  Capital Management Associates, Inc./ Capital Management Securities, Inc.

This session will provide attendees real-world tips on how to improve compliance policies and procedures to address commonly overlooked problems or mistakes. Presenters include a seasoned Chief Compliance Officer for a FINRA-registered broker dealer and SEC-registered investment adviser; a long-term compliance attorney, mediator and Fi360 instructor highly experienced in securities compliance; and a former state securities regulator.

Learning Objectives:

• Describe current topics and priorities that securities regulators have communicated to the financial services industry as needing additional attention
• Conduct an internal audit/assessment of their firm's compliance policies and procedures to identify gaps
• Solve compliance gap issues by accessing the correct external resources, regulations, and guidance to come into compliance