ACC will be exhibiting at the NSCP National Conference in Dallas, Oct. 27-30. Stop by booth #33 to meet us! Our President and Founder Tito Pombra will also be participating in a panel discussion, Annual Review of Policies and Procedures, during the event. The discussion will: ➡️ Explore best practices for conducting an effective process and appropriate testing scenarios. ➡️ Explain how to address prior annual review findings/remediation and any compliance issues during the review period. ➡️ Discuss ways to draft a written report without creating regulatory liability and effectively communicate deficiencies to senior management. ➡️ Examine using the results of the annual review to update the firm’s overall compliance risk framework. We’re looking forward to seeing you at the NSCP National Conference! Learn more here: https://lnkd.in/d2MdBCuP #AdviserComplianceConsulting #ACC #NSCP #financialcompliance #compliance
Adviser Compliance Consulting’s Post
More Relevant Posts
-
Stop by booth #33 to say hello during the NSCP National Conference in Dallas, Oct. 27-30! Also be sure to join our President and Founder Tito Pombra for a panel discussion, Annual Review of Policies and Procedures, during the event. The panel will examine current trends and practices for conducting and maintaining effective and robust annual review programs in accordance with Rule 206(4)-7. Learn more: https://lnkd.in/d2MdBCuP #AdviserComplianceConsulting #ACC #NSCP #financialcompliance #compliance
NSCP National Conference
national.nscpconferences.org
-
Fraud Specialist responsible for assisting auditors address the risk of fraud in financial statement audits
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
Lead Client Service Partner | Deputy Managing Partner Clients and Markets - Audit & Assurance
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
-
GlobalAdvantage Account Management & Mobility Management Product Strategy, Sr. Manager, PMP
A new “On the audit committee’s agenda” discusses the increased demand for disclosure from regulators, investors, and stakeholders. Download the publication to learn more about the possible impact on #audit committees and #disclosure committees.
Aligning the disclosure committee in the era of disclosure
