8e. ALL – Practical Solutions for Small Firms (Intermediate)


Risk assessments, internal controls, vendor due diligence, training, testing and maintaining policies and procedures are just some of the topics we know are important to a firm’s compliance program. At small firms “getting everything done” can be a challenge given staffing and budgetary constraints. This session will discuss practical solutions to help small firms with their compliance initiative.

Learning Objectives:

  • Learn how to demonstrate the need for compliance resources
  • Consider effective options and practical solutions for accomplishing compliance functions
  • Discuss how compliance and managers that hold multiple roles can juggle those roles
  • Evaluate outsourcing options, including within your firm

Intermediate                        Program Level: Date: October 20, 2020 Time: 3:45 pm - 5:00 pm Patricia Harrison John Skidmore

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