Presentations & Webinars
Current Hot Topics for Managers With Individual Clients
Presented by Sara E. Emley.
Sarah Emley will be speaking at the Investment Adviser Association/ACA Insight 2010 Adviser Compliance Forum on Thursday, February 25, 2010 at the Marriott Crystal Gateway Hotel in Arlington, VA.
Sarah will be participating in a panel discussion entitled: "Current Hot Topics for Managers with Individual Clients."
Advisers with wealth management practices and high net worth individuals as clients must consider important issues in their compliance programs, including suitability, disclosures of conflicts of interest, portfolio management, and qualified client standards for whom the firm charges performance fees. Advisory firms that are dually-registered as broker-dealers, have broker-dealer affiliates, or that trade exclusively on a brokerage firm's platform may face additional compliance challenges in dealing with trading, compensation, privacy and data security issues, and other areas.
This panel will discuss best practices in implementing policies and procedures designed for advisers with individual clients, especially in light of possible resource constraints. Sarah's fellow panelists include: Kris Easter, Attorney, Office of Compliance and Inspections and Examinations, SEC; Michael Kossman, Chief Compliance Officer, Chief Financial Officer, Aspirant LLC; and Gary Watkins, Partner, ACA Compliance Group.
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In-depth review of news & developments in the financial services industry.
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A full listing of national & state bank regulatory agencies & industry groups.