NSCP Webinar: Enhancing Your Annual Review Process

July 30, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Tina Mitchell, Lead Sr. Compliance Consultant

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The Annual Review process can be tricky, especially when firms test and ensure their Policies and Procedures are comprehensive and detailed. While this mandatory process is daunting, it is essential for firms to confirm they have adjusted integral areas of their compliance program to their evolving business models. This annual evaluation process allows firms to examine what they are doing, how they’re doing it, the efficacy of their procedures, allowing firms the opportunity to report and adjust for any risks or gaps within their compliance program.

But how do you know if your testing within your annual review is right and accurate? And are you really testing “everything”? Is there a “risk stone” unturned that you may not have noticed? Tina Mitchell (Lead Sr. Compliance Consultant, Core Compliance) and Matt Lovett (Chief Compliance Officer, Brookstone Capital Management) will provide their key industry insights to assist firms in enhancing their Annual Review process.

Our panelists understand that navigating this process can be difficult and running the same tests from last year during your annual review isn’t enough. By attending the “Enhancing Your Annual Review Process” webinar, attendees will learn:

  • How to assess and enhance your past annual review process
  • Key considerations for your firm’s evaluation process
  • Best practices to tackle the testing and surveillance process
  • Tips of planning your firm’s next annual review

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