Building world-class ethics and compliance programs

Lisa M. Marsden, IACCP, is Keynote speaker at Compliance Key, Inc. She 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 op........


Whether you are creating a new compliance program as a new CCO or a new firm or if you are updating an existing program this webinar will guide you through the process.

Why should you attend this webinar?

Rule 17j-1. Effective Date: August 31, 2004. Compliance Date: January 7, 2005. Effective January 7th 2005 registered investment advisers, had to comply by adopting and implementing written policies and procedures that are reasonably designed to prevent violations of the Advisers Act. The Compliance program shall be designed to prevent, detect, and correct violations of the Advisers Act. The overall compliance program must review those policies and procedures at least annually for their adequacy and the effectiveness of their implementation, and designate a chief compliance officer ("CCO") to be responsible for administering the firm's policies and procedures (under the "Compliance Rule" - Rule 206(4)-7). In order to have an effective Compliance Program Policies and Procedures must be created.

Areas Covered in the Session:

Who can Benefit:

Webinar Id: CICLB005

Training Options:

Duration: 60 mins


 10:00 AM PT | 01:00 PM ET

 Single Attendee: [Only for one participant]

$179 (Live)                    $319 (Live + Recorded)

 Multiple Attendee: [For a group of 2-5 participants]

$368 (Live)                    $495 (Live + Recorded)

 Corporate Attendee: [For a group of 6-10 Participants]

$741 (Live)                    $1157 (Live + Recorded)

 Recorded: [Six month unlimited access]

$167 (Single Attendee) $599 (Unlimited Attendee)

Refund Policy
Upcoming Webinar of Lisa M. Marsden
Preparing a Financial Industry....
Presenter: Lisa M. Marsden
When: 08/24/2018 | 12:30 PM PT |03:30 PM ET
Price: $179

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Third Party Vendor Risk Assess....
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Navigating the Financial Regul....
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Past Webinar: Cross Industry Functions
Are you responsible for Enterp....
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What should and should not be ....
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