Join Brandon Klerk, Founder of Halyard Compliance LLC, at the NSCP National Conference October 17th – 19th. Workshops, labs, and forum discussions are led by experienced industry veterans sharing the practical implementation of compliance policies and procedures.

Brandon Klerk 7/18/16 Brandon Klerk 7/18/16

Crowdfunding Conference: FUND Conference

Interested in crowdfunding? Join Brandon Klerk, Founder of Halyard Compliance LLC, at the FUND Conference in Chicago, September 27-29. Early bird tickets now available (www.fundconference.com). Use our code when you purchase tickets: HAYCOMP50

Hope to see you there!

Brandon Klerk 6/24/16 Brandon Klerk 6/24/16

Speaking Engagement: National Compliance Conference

Join Brandon Klerk, Founder of Halyard Compliance LLC, on November 9th – 11th in Orlando, FL for an interactive session on understanding the critical components of establishing and maintaining a “Culture of Compliance” as put forth by FINRA.

Industry Insights Session: What Does a “Culture of Compliance” REALLY mean? Participate in an interactive panel discussion led by Brandon Klerk and other industry experts. Better understand the critical components of establishing and maintaining a “Culture of Compliance” as put forth by FINRA.

Brandon Klerk 4/7/16 Brandon Klerk 4/7/16

Final DOL fiduciary rule released today!

Timetable: The effective date is June 7th, 2016, which is 60 days after it is published in the Federal Register on April 8th, 2016. Notwithstanding any possible applicability postponement(s), the rule is scheduled to apply to transaction on or after April 10th, 2017 (with certain phase-ins through January 2018).

Quick References:

DOL final rule – here.
DOL final rule summary – here.
DOL comparison of proposed and final rule – here.
DOL rule FAQ – here.
White House fact sheet- here.
Best Interest Contract Exemption – here.
Principal Transaction Exemption – here.
SIFMA Response Letter – here.

Brandon Klerk 4/7/16 Brandon Klerk 4/7/16

Speaking Engagement: 2016 National Conference, Charles Schwab Compliance Solutions

“Leveraging Schwab Compliance Technologies®

Thursday May 5, 1:45 p.m. – 2:45 p.m.

Are you getting the most out of your instance of Schwab Compliance Technologies (SCT)? During this session we will focus on the Personal Trading and Case Management modules.

Personal Trading: We will discuss how to effectively leverage business rules, maintain your direct feeds, and resolve missing account exceptions.
Case Management: We will discuss key differences between Case and Affirmations and demonstrate how firms are using Case as an integral component of their Compliance program.

This interactive session is designed for both beginners and experts and will provide a forum for all attendees to share best practices and insights.”

Brandon Klerk 2/19/16 Brandon Klerk 2/19/16

Speaking Engagement: 2016 National Conference

Join Brandon Klerk, Founder of Halyard Compliance LLC, at the Charles Schwab Compliance Solutions 2016 National Conference on May 5th – 6th in Austin, TX for an interactive session designed for both beginners and experts and will provide a forum for all attendees to share best practices and insights. Session details are below:

“Leveraging Schwab Compliance Technologies®

Thursday May 5, 1:45 p.m. – 2:45 p.m.

Are you getting the most out of your instance of Schwab Compliance Technologies (SCT)? During this session we will focus on the Personal Trading and Case Management modules.

Personal Trading: We will discuss how to effectively leverage business rules, maintain your direct feeds, and resolve missing account exceptions.
Case Management: We will discuss key differences between Case and Affirmations and demonstrate how firms are using Case as an integral component of their Compliance program.

This interactive session is designed for both beginners and experts and will provide a forum for all attendees to share best practices and insights.”

Brandon Klerk 1/11/16 Brandon Klerk 1/11/16

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

Brandon Klerk 10/1/15 Brandon Klerk 10/1/15

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.

Brandon Klerk 9/8/15 Brandon Klerk 9/8/15

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

Brandon Klerk 9/3/15 Brandon Klerk 9/3/15

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

Brandon Klerk 5/11/15 Brandon Klerk 5/11/15

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.

Brandon Klerk 5/2/15 Brandon Klerk 5/2/15

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

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