Webinar Presentation Download: Organize Your Year-end Compliance Clear Out

November 17, 2015

Download the slides from our recent webinar with Jessica Rodgers of David Landau & Associates, LLC (DLA) and her advice on ways to sort your year-end compliance checklist. Click here for the presentation: Organize Your Year-End Compliance Clear Out

Topics covered included:

  • Annual Compliance Review
  • Training
  • 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.  The DLA 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.

MyComplianceOffice is a powerful software solution that automates compliance program activities and demonstrates an organization’s culture of compliance. MyComplianceOffice is a brand and solution of TerraNua, a software development firm with over nine years experience creating enterprise solutions for risk, compliance and governance for the financial services industry.