David Thetford | Wolters Kluwer
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    From Reasonably Designed to Perfectly Designed: Best Practices for the Annual Review Process
    (Recorded May 21, 2015) Done. Check. You just completed your annual review to gauge the effectiveness of your supervisory system and confirm it is reasonably designed to detect violations and weaknesses in internal controls. Now what? Well, this is the perfect time to conduct a post mortem so that you can breathe new life into your next review. Join securities compliance experts, Matt Dwyer and Steve Taylor along with David Thetford as they delve into essential internal controls, compliance testing essentials and documentation procedures within the structure of a "real-world" practical compliance program.
    Seasonal Review—Gifts & Entertainment Compliance Policies
    (Recorded November 25, 2014) Subject matter experts Kathy Kresch Ingber, Partner, K&L Gates LLP and Carol Beckett, Compliance Manager, Wolters Kluwer Financial Services join moderator David Thetford, Securities Compliance Principal Analyst, Wolters Kluwer Financial Services and provide guidelines for the review of your policies and procedures for compliance with the gift and entertainment laws, rules and regulations that apply to broker-dealers and investment advisers.
    Evaluating GRC Systems: Look Inside Before You Look Outside
    (Recorded November 12, 2014) Many financial organizations still manage risks—compliance, operational and financial—manually through various departments and operating entities throughout their organizations. Frequently this process is done using spreadsheets, e-mail and inconsistent risks and controls, leaving an organization open to unforeseen threats and potential catastrophes, but also unable to fully capitalize on risk. A GRC system seems like an obvious next step, but how do you know when you’re ready, and what features/functionality you should look for?
    Hot Topics in AML Compliance
    (Recorded October 17, 2013) This previously recorded webinar includes coverage of the most talked about topics with regard to regulatory compliance, such as the annual requirement, regulatory expectations, risk assessment, independent testing, AML audit, and industry take-aways and insights.