Recent Events

On Wednesday, November 28th (2018) NorthPoint Compliance co-hosted a webinar with MyCompliance Office. Presenters Victoria G. Hogan and Colleen Montemarano discussed how to best wrap up 2018 and prepare for 2019. Topics discussed included: Annual Compliance Review, Employee Attestations, Updating the Compliance Manual and Firm Risk, and Setting up Your Program to Mitigate Employee Misconduct Risk in 2019. If you missed the presentation, you can watch it on-demand.

On Tuesday, October 23rd (2018), Victoria was part of a panel of experts who discussed business ethics, what your peers do, and ideas to try for your compliance programs.  Please click the link below for more information.

Victoria presented at IA Watch’s 20^th Annual IA Compliance Conference in Washington DC, March 21-23, 2018.  She was part of a panel of experts who discussed last-minute advice on how to answer the dramatically new Form ADV.  Please click the link below for more information.

On February 21st (2018) NorthPoint Compliance co-hosted a webinar with MyCompliance Office. Presenters Victoria G. Hogan and Colleen Montemarano reviewed the SEC’s National Exam Program Examination Priorities for 2018. This presentation included tips for registered investment advisers regarding compliance policies and how to conduct reviews that will prepare your program for a visit from SEC examiners.  Below is the link to segments of the recording of the presentation.