NSCP Webinar: How To Create A Strong Culture Of Compliance

July 25, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Tito Pombra, President

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Over the years, Senior SEC staff has encouraged firms to incorporate a strong compliance culture within their organizations and how it will go a long way during a firm’s examination. An Office of Compliance Inspections and Examinations (OCIE) Former Director Carlo V. di Florio once said “Strong risk management controls, including a solid compliance program, are a key responsibility of everyone in a regulated entity, but the right culture and tone at the top are especially the responsibility of senior management and the board.”

But how do you build a strong culture of compliance? And how do you go about creating/getting internal management buy-in for a strong compliance culture? Tito Pombra (President, Core Compliance & Legal Services) and Pamela Pendrell (Chief Compliance Officer, GlobeFlex Capital) will answer these questions and more in “How to Create a Strong Culture of Compliance,” where attendees will have the opportunity to learn:

  • What key components are essential to creating a “strong culture of compliance”;
  • How to develop and communicate compliance from top down, or as the SEC says, “tone from the top”;
  • How to make compliance a part of the business and an “owned” subject by managers and staff;
  • Considerations for establishing and maintaining compliance as part of corporate culture
  • The important role of how continuous training fosters your firm’s culture of compliance; and more!

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