Re-designing Compliance Practices

Information about Re-designing Compliance Practices

Published on August 10, 2014

Author: Miles.Peterson

Source: authorstream.com

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PowerPoint Presentation: RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES Senior Fellow from Practice: Matthew Eisenberg, JD, Partner, Finn Dixon & Herling Guest Lecturers: Bruce Kahne , JD, Partner, GC & CCO, EnTrust John Oliva , CCO, Highbridge Jonathan Boersma , Executive Director, CFA Institute Marc Baum, JD, GC, Serengeti RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES: RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES 2 RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES\: Identification and Analysis of Compliance-Related Risks Identification of compliance-related risks / areas of concern Risk inventory / matrix Analysis RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES \ 3 RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES: Development and Implementation of Compliance Procedures Formulation of compliance procedures Approval Staffing Utilization of third party “solutions” Service providers Technology Supervision RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES 4 RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES: Review / Update of Compliance Procedures Monitoring Identification of non-compliance Remediation Review and upgrade of procedures Identification of new risks Update of procedures Identification of inadequacies in procedures / controls Upgrade of procedures / controls RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES 5 RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES: Current / Recent SEC Focus Areas Re: Compliance Procedures GIPS Quantitative trading Investor due diligence / disclosure practices Allocation of expenses Marketing practices (Regulation D / use of marketers) Valuation of hard to value assets RE-DESIGNING COMPLIANCE PRACTICES, CONTROLS & INFRASTRUCTURES – EXAMINATION CASE STUDIES 6

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