missy@financialexpertsnetwork.com7 months 4 weeks ago
A few comments from listeners when they were asked what the learned from the webinar:
Very good overview of the principal areas examiners are looking as far as firm and IAR compliance are concerned. As CCO for my firm, this session was helpful in identifying a couple of compliance items on which I need to focus more attention. - David D.
Best practices for developing and maintaining compliance programs -especially testing the policies and procedures regularly and documenting the tests. (2) safeguarding client assets and the ways you can take custody of client's assets. - Jacqueline B.
Interesting points about serving as trustee for non-family. Also reviewing ADV annually. Websites for IAR - Jennifer S.
Very good overview of the principal areas examiners are looking as far as firm and IAR compliance are concerned. As CCO for my firm, this session was helpful in identifying a couple of compliance items on which I need to focus more attention.
- David D.
Best practices for developing and maintaining compliance programs -especially testing the policies and procedures regularly and documenting the tests. (2) safeguarding client assets and the ways you can take custody of client's assets.
- Jacqueline B.
Interesting points about serving as trustee for non-family. Also reviewing ADV annually. Websites for IAR
- Jennifer S.