In the US Securities Exchange National Exam Program Risk Alert issued by the Office of Compliance Inspections and Examinations February 2017 "Five Most Frequent Compliance Topics Identified by OCIE Examinations of Investment Advisers" includes Inaccurate Disclosures of conflicts. This webinar will help you how to avoid a deficiency in this area.
Undisclosed conflicts of interest can cause great harm to an advisor from a regulatory standpoint. Learn how to identify the conflicts mitigate and properly disclose. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm's overall compliance program.
Undisclosed conflicts of interest can cause great harm to an advisor from a regulatory standpoint. Learn how to identify the conflicts mitigate and properly disclose. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm's overall compliance program.
Lisa Marsden
Lisa Marsden is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services, allowing the advisor to focus on what they do best, provide their client’s with exceptional financial services. Coulter Strategic Services also provides customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a degree in computer programming from Keiser University, and …
ChatGPT and Project Management: Leveraging AI for Project M…
Workplace Investigations 101: How to Conduct your Investiga…
Project Management for administrative professionals
The Monte Carlo Simulations in Excel for Risky Investments
Onboarding is NOT Orientation - How to Improve the New Empl…
Dealing With Difficult People: At Work & In Life
Transform Data into Insights: A Beginners Guide to Excel Pi…
Construction Lending And Real Credit Administration: Evalua…
Understanding Accounting for non - Accounting professionals
Harassment, Bullying, Gossip, Confrontational and Disruptiv…
New Form 1099 Reporting Requirements: 2025 Compliance Update
Human Error Reduction Techniques for Floor Supervisors
HR Metrics and Analytics 2025 - Update on Strategic Plannin…
Treating Employees Like Adults: Discipline versus Empowerme…
7 Ways To Beat Burnout: Without Quitting Your Job
How to Write Procedures to Avoid Human Errors
Handbook Overhaul 2026: Compliance, OBBB Act & Beyond
FDA Proposes Framework to Advance Credibility of AI Models
Ethical Terminations: Navigating Employee Exits with Legal …
Understanding EBITDA – Definition, Formula & Calculation
Project Management for Non-Project Managers - Scheduling yo…
4-Hour Virtual Seminar on Hidden Secrets of Selling & Marke…
Validation Statistics for Non-Statisticians
Data Integrity and Privacy: Compliance with 21 CFR Part 11,…
The Alphabet Soup: When the FMLA, ADA, COBRA, and Workers' …
Talent Management: How to Leverage AI and ChatGPT Tools for…
Offboarding with Care: Conducting Legal & Ethical Employee …
2-Hour Virtual Seminar on How to Conduct an Internal Harass…
Payments Fraud Detect & Prevent Check, ACH and P-Card Schem…
Managing Toxic & Other Employees Who have Attitude Issues
Reduce Stress in the Workplace: Effective Ways to Handle Co…
Excel - Pivot Tables - The Key To Modern Data Analysis and …