The New World of Compliance
Core Compliance & Legal Services, Inc. (“Core Compliance”) will hold its annual symposium on Thursday, November 3rd, 2016, at the Sheraton Park Hotel in Anaheim, CA. (Across the street from Disneyland!)
During this fun and educational event, the Core Compliance team will discuss:
- Elderly Investor Issues Beyond Compliance
- How to Conduct a Cybersecurity Risk Assessment
- New DOL Rule: Application of the BIC Exemption and What it Means for You
- How to Draft Disclosures and Market Performance Advertising to Stay Compliant
- The Importance of Technology in Compliance – Financial Tracking
- Effective Testing Ideas for Your Annual Review
Agenda
Registration and Continental Breakfast
7:45 am – 8:30 am
Introduction and Welcome
8:00 am – 8:05 am
Elderly Investor Issues Beyond Compliance
8:05 – 8:35 am
How to Conduct a Cybersecurity Risk Assessment
8:35 am – 9:35 am
New DOL Rule: Application of the BIC Exemption and What it Means for You
9:35 am – 10:35 am
Break
10:35 am – 10:45 am
Resources for your Compliance Program – Introduction
10:45 – 10:55 am
Core Compliance wishes to thank our sponsors who provide valuable resources to our clients
- EisnerAmper
- Starkweather Shepley
- Jacko Law Group, PC
How to Draft Disclosures and Market Performance Advertising to Stay Compliant
10:55 am – 11:55 am
Resources for your Compliance Program – Introduction
11:55 am – 12:05 am
Core Compliance wishes to thank our sponsors who provide valuable resources to our clients
- Millennium Trust Company
- Maples Fund Services
- Charles Schwab
Break: Box Lunches Served
12:05 am – 12:15 pm
The Importance of Technology in Compliance – Financial Tracking
12:15 pm – 1:00 pm
Effective Testing Ideas for your Annual Review
1:00 pm – 2:00 pm
Closing Remarks
2:00 pm
Conference Ends
Please click here to register.