Webinar: Organize Your Year-end Compliance Clear OutNovember 12, 2015
Organize Your Year-end Compliance Clear Out
Please join DLA and TerraNua for a free webinar and learn ways to sort your year-end compliance checklist. Get ready to enjoy the holidays when you’ve organized your program with these top tips and topics. Preliminary topics include:
- Annual Compliance Review
- Employee Attestations
- Updating the Compliance Manual and Firm Risk Assessment
DLA Compliance offers a full-service approach to securities regulatory compliance including, but not limited to, infrastructure development and implementation, registration advisory, policies and procedures, regulatory risk assessment, inspections and testing, mock regulatory audits, ongoing monitoring and advisory support, and training. Our compliance team has in-depth experience with financial firms, including broker-dealers, registered investment advisors, hedge funds and private equity funds, as well as global cross-border institutions.