On Wednesday, April 21, 2021 Vicky will be part of a panel which will discuss incorporating SEC and FINRA exam priorities into your compliance programs. Please click the link below for more information.
NSCP Virtual Educational Seminar
Incorporating SEC & FINRA Exam Priorities Into Your Compliance Program
End of Year Compliance Wrap Up
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.
IA WATCH FREE WEBINAR
Ethics: The Compliance Officer’s Role in Encouraging Your Firm to Do the Right Thing
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.
IA WATCH WEBINAR
20th annual IA Compliance: The Full 360° View East - Navigating the Shifting Landscape of IA Compliance
Victoria presented at IA Watch’s 20th 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.
SEC 2018 Exam Priorities
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.