Best Practices in Building a Global Compliance Program


Wednesday, December 19, 2018


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2:00 pm - 3:00 pm ET




 

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NON-MEMBERS


 

 





PRESENTERS  

MODERATOR 
Nicholas D'Angelo
Director, Financial Services, PwC
PANELISTS 

Stephanie Tyler
Manager, US Transfer Agent Global Risk & Control Compliance, Franklin Templeton Investor Services, LLC
 
Mark Trenchard
Director of Operational Compliance, Putnam Investments
 Diana Hanlin
Senior Vice President, Compliance, Citi

 

overview

 
Investment firms with an international footprint are beginning to integrate a global view on their overall compliance policies and programs. Join our panel of experts for an in-depth discussion about the challenges firms face, and the efficiencies they can gain, by creating and maintaining a global compliance program. What does the interaction across jurisdictions look like? How do firms coordinate across borders? Hear a panel of asset managers and financial service providers dissect the best practices and overall impact of globalizing risk and compliance programs.

Goals/Objectives:
To offer unique perspectives on:
-  Ideation processes
-  Product development committee structures
-  Vehicle structure decisions

CPE Information


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.

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