Conflicts of Interest in Financial Services

  • Product Id : FN2373
  • Category :
  • Presenter :
  • Scheduled On : April 20 2018 1:00 pm
  • Duration : 60 Minutes

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.

Areas Covered in the Session :

  • Definition of Conflicts of Interest
  • General Conflicts for Investment Advisors/Financial Services
  • How to Identify Conflicts of Interest
  • Eliminating the Conflict
  • Mitigating the Conflict
  • Disclosing the Conflict
  • Monitoring Conflicts
Who Should Attend:

  • Investment Advisors
  • Portfolio Managers
  • Financial Planners
  • Compliance
  • Operations
  • Compliance Consultants
  • Financial Services

FN2373

Lisa M. Marsden

Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.

Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale’s annual conference, conducted training sessions on the financial regulations regarding cyber security.

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