Regulatory Compliance Association Reviews

Building a Compliance Program to Support Expert Network Use

Practice Edge 02

Building a Compliance Program to Support Expert Network Use

Interested in CLE or CPE (A & A hours), attend via the RCA’s Online University (On Demand) – free for Practice Edge Elite Members

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This session will cover how compliance officers at investment firms are managing the risk of using expert networks through due diligence, layering custom controls over the controls of their expert network service providers and conducting real-time and post-consultation surveillance on their firms’ use of expert networks.

At the conclusion of this class session, students will master the following:

  • Historical context of expert network use;
  • Define appropriate internal controls for expert network service providers;
  • Apply best practices for conducting due diligence of the service provider;
  • Identify custom controls available to compliance officers through expert network service providers;
  • Identify custom controls that investment firms may implement internally; and
  • Recognize potential hot button issues to consider in building a compliance program to support expert network use.

Session Chairman:
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:
Catherine Smith, JD, General Counsel, Guidepoint Global

Guest Lecturers:
David Chaves, JD, New York Supervisory Special Agent, FBI
Mark Polemeni, JD, Chief Compliance Officer | Asset Management, Citadel, LLC
Adam Wasserman, JD, Partner, Dechert
Michael Sherman, JD, Partner, Dechert

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