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Webinar - Practical Tips for Conducting an Annual Review

Date/Time:
Tuesday, July 11, 2017
11:00 a.m. – 12:15 p.m. (ET)

Learn how to manage your firm’s compliance testing program and annual review process. Hear what the SEC expects firms to do, ways to involve business colleagues, and practical ideas to integrate your firm’s everyday processes into testing, documentation, and the annual review.

Topics Covered

This webinar will address:

  • Controls and procedures for the review process, including “to do” lists and plans of action
  • Documentation and reporting to management
  • Suggestions to enhance annual review checklists
  • How to detect gaps in your policies and procedures
  • Developing an effective testing program

Presenters

Sharon Buccafusco has been with Tradition Capital Management since 2007 as Vice President and Associate Chief Compliance Officer. Prior to joining, Sharon served as an Assistant Vice President at JPMorgan Chase in the Investment Bank. During her 34-year tenure, she held positions as a financial analyst, Operations Manager, Product Manager, and Financial Controller in the Operations, Cash Management and Technology Divisions, and the Investment Bank. Responsible for the maintenance and ongoing development of effective regulatory compliance policies and procedures of the firm, she is currently pursuing the Investment Adviser Certified Compliance Professional (IACCP®). Download to see image
Alvaro Soto is a Senior Principal Consultant with ACA based in Miami, Florida. Alvaro specializes in consulting on SEC compliance to investment advisers, including private fund managers. In this role, he coordinates the development, implementation, and maintenance of customized compliance programs. In particular, he focuses on identifying client-specific risks and conflicts of interest. Alvaro also consults investment advisers, investment companies and financial institutions on AML, FCPA, and financial crimes risks and regulation. Prior to joining ACA in July 2014, he served as a Staff Accountant and Securities Compliance Examiner at the SEC’s Miami Regional Office. Alvaro graduated cum laude from the University of Puerto Rico, majoring in Finance and Accounting. He also earned a Master’s in International Business from George Washington University. Download to see image
Craig Watanabe serves as a Senior Compliance Consultant for CCLS, with particular focus on practical, risk-based compliance solutions. He is also a Financial Advisor at Penniall & Associates, Inc. With over 30 years of industry experience Craig specializes in broker-dealer and investment adviser compliance, investment banking, insurance, commodities, retail investment advisory and ERISA plans. Prior to his joining CCLS, Craig worked at Advisor Solutions Group as a Senior Compliance Consultant and as the Chief Operations Officer and Chief Compliance Officer at Penniall & Associates. Craig served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011. He served six years on the NSCP Board of Directors and was Chairman of the Board in 2013. Download to see image
Sanjay Lamba has over 15 years of experience regarding all aspects of investment management law and regulation. Prior to joining the IAA in 2013, Sanjay worked at the SEC for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, Sanjay was an associate in the investment management practice groups at Morrison & Foerster LLP and Dechert LLP. He received his B.S. degree in Finance from George Mason University in 1994 and his law degree from Boston University in 1997. He is a member of the bar in the Commonwealth of Virginia and the District of Columbia. Download to see image

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Monday, July 10, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. (Registrations made on or before July 11 at noon ET are automatically registered for both the live webinar and the recording.)

Non-Member Registration Fees: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.

Cancellation:
Cancellations and substitutions must be received in writing no later than noon on Monday, July 10, 2017. Email your requests to megan.olson@investmentadviser.org.

Questions?

For questions regarding this call, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.

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