The end of the year is fast approaching. As you look back, are you on track to demonstrate that you met your compliance objectives? Do you know what you need to do to set the stage for effective compliance in the coming year and beyond?
Taking a proactive approach to evaluating core elements of your compliance program will allow you to identify concerns and make adjustments—before the regulators do.
Wondering where to start? Join MCO and Paul Murdock and James Hartmann from MCG Consulting for a webinar that will provide guidance on the key areas where compliance professionals should be focusing their time and attention to close the year out strong and position themselves for success, including:
There will be a Q&A session after the presentation, so please let us know if you have any questions for our presenters when you register.
Time : 12PM EST / 5PM GMT
Paul has amassed over 25 years of experience specializing in finance and compliance within the financial services industry. His client portfolio experience spans diversified financial services companies, broker-dealers, banks, investments advisers, hedge funds, private funds and mutual fund companies.
James has over 30 years of experience as a regulator, CCO, trusted consultant to investment advisers with SMA, mutual fund, insurance company and structured product clients with a variety of VC, PE, private credit, liquid credit, and multi-strategy alternative equity strategies.