2016 FINRA & SEC Examination Priorities

Focusing on everything from “firm’s culture” to “cyber-security”.  Contact Halyard for insights on how to better evidence your firm’s “culture” during a regulatory examination.  Read these regulatory releases here:

https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2016.pdf

https://www.finra.org/industry/2016-regulatory-and-examination-priorities-letter

Speaking Engagement: NSCP National Conference

Join Brandon Klerk, Founder of Halyard Compliance LLC, at the NSCP National Conference November 1st – 4th for a panel discussion with other industry experts on Complex Products and Alternative Investments. Attend the session to hear about how to identify these products on your system, doing the diligence, surveying the suitability, regulator expectations and more.

Speaking Engagement: The Strategic Leadership Group

Brandon Klerk, Founder of Halyard Compliance LLC, speaks to the The Strategic Leadership Group (“SLG”), a longstanding group that has periodic calls where industry, lawyers and regulatory/law enforcement personnel discuss topical issues around anti-money laundering, fraud and related issues. Mr. Klerk will join other industry experts for a panel discussion on FinCEN’s Proposed AML Regulations for Investment Advisers.   The FinCEN announcement and proposed regulation can be found here, respectively: https://www.fincen.gov/news_room/nr/pdf/20150825.pdf  &  https://www.fincen.gov/statutes_regs/frn/pdf/1506-AB10_FinCEN_IA_NPRM.pdf

Speaking Engagement: Thomson Reuters Compliance and Risk Forum

Join Brandon Klerk, Founder of Halyard Compliance LLC, for the Thomson Reuters Compliance and Risk Forum 2015 on September 30th at the Palmer House in Chicago.  Mr. Klerk will join other industry experts for a panel discussion on “Training as the Cornerstone of an Effective Compliance Program“.   Attend the session to hear about:

“Your compliance and ethics training program sets the tone and delivers the expectations for your workforce. As the most standardized and pervasive employee interaction, training should be the root of all initiatives that are designed to drive a culture of compliance and ethics in your business. Whether it is tone, compensation, enforcement or policy and procedure management, effective training can serve as the cornerstone. During this session, panelists will examine:
• Promoting and measuring employee engagement
• Addressing regulatory learning fatigue
• Fostering an ethical and compliant workforce
• Defining and delivering ROI”

https://info.risk.thomsonreuters.com/2015-Roadshow-Chicago?elq=00000000000000000000000000000000&elqCampaignId=&elqaid=5851&elqat=2&elqTrackId=e4979017cef84683bdb9870303554b58

Speaking Engagement: FINRA National Conference

Join Brandon Klerk, Founder of Halyard Compliance LLC, at the FINRA National Conference in Washington D.C. May 27-29th for a panel discussion with FINRA and SEC staff members on Alternative Investments and Complex Products. Attend the session to hear about private placements, structured products and other alternative investment products, and to hear regulatory perspectives and industry-effective practices regarding these products. This session will be available via broadcast.

Speaking Engagement: NSCP Mid-West Regional Conference

Join Brandon Klerk, founder of Halyard Compliance LLC, on May 7th at the Federal Reserve Bank of Chicago for the National Association of Compliance Professionals (NSCP) Mid-West regional conference for two panel discussions, Essential Compliance Skills and Managing Broker-Dealer Regulatory Examinations.

Essential Compliance Skills

• Communication

• Achieve business “partner” status

• The art of why not versus cannot

• They have a question, but I don’t know the answer; how not to lose credibility

• Your role in helping management understand compliance risk

BD – Regulatory Exams

• Current exam priorities:  What regulators are looking for

• Preparing for the exam and responding to the exam requests

• Demonstrating your Culture of Compliance and an effective control environment

• Preparation and management of the entire exam process

• What to expect for an exit interview and resolving deficiencies