Best Practices in Building a Global Compliance Program
Director, Financial Services, PwC
Manager, US Transfer Agent Global Risk & Control Compliance, Franklin Templeton Investor Services, LLC
| ||Mark Trenchard|
Director of Operational Compliance, Putnam Investments
Senior Vice President, Compliance, Citi
To offer unique perspectives on:
- Ideation processes
- Product development committee structures
- Vehicle structure decisions
NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.
NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: http://www.learningmarket.org/.
For this webinar:
CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based
Cancellations and Refunds
Due to this program being offered free of charge, there will be no refunds issued.
Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.