Archives

7f. ALL –  LAB – How to Detect and Prevent Misappropriation

It has been a while since Bernie Madoff has been in the news, but we should never forget the lessons learned and appreciate that since the invention of money, criminals have been trying to steal it. This lab will provide an opportunity to practice detection skills and devise robust controls. Learning Objectives: • Understand how […]

8f. ALL – LAB – Breaking the Stress Cycle For More Effectiveness Lab

Stress and anxiety can limit the effectiveness of compliance professionals and can lead to burnout. Reclaim your sanity and energy by learning techniques to decrease stress and anxiety while increasing creativity and focus on problem-solving. Learning Objectives: • Learn how to interpret and address risks to decrease anxiety • Understand the cause and impact of […]

5f. ALL – LAB – Delving into Investment Due Diligence

This lab will explore the importance of having adequate, current, and relevant due diligence, oversight and governance programs designed to help determine the potential risks of investments being recommended to clients. Attendees learn through interactive small and large group discussions on best practices, regulatory expectations, and enforcement cases. Learning Objectives: • Discuss the importance of […]

6f. ALL – LAB – Ethical Decision-Making for Compliance

This lab will examine the challenges that face compliance departments when doing the right thing may not feel like the best thing. We will examine the nexus between compliance and ethics that forms the foundation of a firm’s culture of compliance. Participants will be led through a series of “ripped from the headline” ethical dilemmas […]

4d. ALL – LAB -Regulatory Exam Preparation

Compare and exchange ideas with peers on the most efficient and effective practices for regulatory exam preparation. Openly discuss the record production process, interview tips, disastrous pitfalls to avoid, responding to findings and deficiencies and who these should be communicated to. Ensure review of regulatory exam priorities and how it applies to your firm’s business […]

3d. ALL – LAB – How to Detect and Prevent Manipulative Trading

Manipulative trading takes many forms including insider trading, front-running, cherry picking, and promoting false or misleading information. Much like a good detective, good compliance officers study the methods of criminals to learn how these crimes can be detected and prevented. This lab will provide an opportunity to practice the detection skills and devise robust controls. […]

1f. BD – LAB – Managing Marketing: Advertising Compliantly

This lab will delve into techniques for training reviewers so they understand the nuances and importance of advertising review and can leverage their position in the firm to ‘have a seat at the table’. Attendees will discuss case studies highlighting common pitfalls, share best practices, and gain insight on overcoming these pitfalls. Learning Objectives: • […]

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