Tips

 

Webinar - Tips for Managing Compliance Testing and the Annual Review

Friday, April 22, 2016
11:00 a.m. - 12:15 p.m. (ET)

Topics Covered

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.

Key takeaways:

  • Identify what the SEC might look for in your testing program and annual review
  • Learn how committees can help in the testing process
  • Customize your program to develop reporting processes to senior management
  • Create strong internal controls, “to do” lists, and plans of action
  • Review sample forms for testing and annual review reporting

Presenters

  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association (Moderator)
  • Michelle J. Katauskas, Chief Compliance Officer and Director of Operations, Fairpointe Capital, LLC
  • Michelle B. Kennedy, President, Compass Compliance Services, LLC

Registration

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

Live Recording Both
IAA Members and Associate Members $0 $0 $0
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

Download to see image
Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Ms. Botkin served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014 and rejoined the IAA in November 2014. Prior to joining the IAA, Ms. Botkin was an associate at Dechert LLP and at Alston & Bird LLP. She earned her B.A. in government and politics from the University of Maryland and her J.D., cum laude, from Southwestern University School of Law, where she was an editor of the Law Review.
 
Download to see image Michelle B. Kennedy is President of Compass Compliance Services, LLC. Formerly Ms. Kennedy served as Vice President and Director of Compliance Platform Services for WealthTrust LLC, an investment management holding company with ten affiliated registered investment advisory firms. Prior to joining WealthTrust, she was Vice President of Greenwood Capital Associates. Ms. Kennedy is past president and founding member of the Advent User Group. She received her B.S. and M.B.A. degrees from Clemson University.
Download to see image Michelle J. Katauskas serves as Chief Compliance Officer and Director of Operations of Fairpointe Capital LLC, and is a member of the firm’s Executive Team. Her responsibilities include all compliance and regulatory affairs for the firm, overseeing back office operations and trading activity. Prior to joining Fairpointe Capital, Ms. Katauskas served as the Chief Compliance Officer and VP of Operations at a predecessor firm. Before that, Ms. Katauskas was employed at William Blair & Company, LLC. Ms. Katauskas received a B.A. in Finance from DePaul University.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, April 20, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.