Compliance Training Techniques

 

Webinar – Compliance Training Techniques

Friday May 8, 2015
1:00 - 2:15 p.m. (ET)

Topics Covered

Investment advisers remain under pressure from regulators and clients to maintain robust compliance programs. Firms are looking for creative ways to best communicate and reinforce their policies and procedures. This webinar will address how to effectively and efficiently conduct compliance training, including:

  • Strategies for training new employees, investment staff, and senior executives;
  • Sample training materials – quizzes, games, and more;
  • Compliance breaks as learning opportunities;
  • Use of technology in compliance training; and
  • Beyond acknowledgements – assessing understanding.

Presenters

  • Laura L. Grossman, IAA (Moderator)
  • David Lui, Principal, Galliard Capital Management, Inc.
  • Marla Roeser, Director of Compliance and Risk Management, Convergent Wealth Advisors

Register Today

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475
*Per computer login

 

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Laura Grossman is Assistant General Counsel of the Investment Adviser Association. Prior to joining the IAA, Laura was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters pertaining to the Investment Advisers Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Laura received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania. She is a member of the New York, New Jersey, and District of Columbia Bars.

David Lui is Principal at Galliard Capital Management, a wholly-owned subsidiary of Wells Fargo in Minneapolis with over $85 billion in assets under management. Prior to joining Galliard, David was the Chief Compliance Officer of U.S. Bancorp Asset Management and Franklin Advisers and Chief Compliance Counsel for Charles Schwab in San Francisco. David earned his B.A. in history from Brown University, and a J.D. from the University of California, Hastings College of Law, in San Francisco. He has been admitted to practice law in both California and Minnesota. He is a past Chairman of the Board of Directors of the National Society of Compliance Professionals and is a nationally recognized speaker on compliance issues. David has more than 25 years of experience in compliance and investment company law.

Marla Roeser is the Director of Compliance and Risk Management at Convergent Wealth Advisors. She is responsible for ensuring Convergent’s conformity with regulatory requirements for registered investment advisers, securities products, and its fiduciary duty to clients. She works closely with Convergent’s privately offered funds and works with research on its operational due diligence processes. She also oversees the internal Risk Management Committee. Marla has over fifteen years of experience in federal securities regulation and holds her FINRA Series 7, 24, and 63 licenses. Marla started her career as an attorney in the SEC’s Division of Trading and Markets trading practices group and was an attorney examiner at the LA regional office of the SEC. She earned a B.A. at the University of California at Santa Barbara and graduated from Pepperdine University School of Law with a J.D., cum laude. She is a member of the California State Bar.

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, May 6, 2015. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.