In the US Securities Exchange National Exam Program Risk Alert issued by the Office of Compliance Inspections and Examinations February 2017 "Five Most Frequent Compliance Topics Identified by OCIE Examinations of Investment Advisers" includes Inaccurate Disclosures of conflicts. This webinar will help you how to avoid a deficiency in this area.
Undisclosed conflicts of interest can cause great harm to an advisor from a regulatory standpoint. Learn how to identify the conflicts mitigate and properly disclose. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm's overall compliance program.
Undisclosed conflicts of interest can cause great harm to an advisor from a regulatory standpoint. Learn how to identify the conflicts mitigate and properly disclose. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm's overall compliance program.
Lisa Marsden
Lisa Marsden is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services, allowing the advisor to focus on what they do best, provide their client’s with exceptional financial services. Coulter Strategic Services also provides customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a degree in computer programming from Keiser University, and …
Handbook Overhaul 2026: Compliance, OBBB Act & Beyond
Fostering a Culture of Respect: Eliminating Gossip, Rumour…
Excel Spreadsheets; Develop and Validate for 21 CFR Part 11…
Paying and Receiving Payments for Referrals: You Can Go to …
Tattoos, hijabs, piercings, and pink hair: The challenges …
Ten Red Flags that Signal Financial Distress in Business Cu…
Excel + AI: The Smart User's Guide to Faster, Easier Work w…
The Age-Inclusive Workplace: How to Lead and Work Across Ge…
The Importance of the first 5 seconds when presenting
The New W4 - How to Assist Employees with Proper Completion…
Transforming Anger And Conflict Into Collaborative Problem …
4-Hour Virtual Seminar on Management Skills For New Managers
Microsoft Excel PivotTables: Basics of Data Analysis for Bu…
Supervisor Excellence: Skills to Lead High-Performing Teams
Tools for New Managers: Connecting with Employees to Optimi…
Fatal Errors Employers Make When Updating Employee Handbook…
The Manager’s Playbook for Leading After Layoffs: Quickly R…
Conquer Toxic People - Learn To Protect Yourself And Get Yo…
Elevate Your Workplace Wellness: 10 Critical Wellness Facto…
Thriving in a Hybrid Workplace: Keys to Leadership and Team…
Excel - Lists and Tables - A Beginner's Guide to Managing L…
Launch Your Career: The Ultimate Guide for Emerging Profess…
Mastering Performance Management: Strategies for Continuous…
Pivot tables beginner to advanced + 20 advanced Pivot table…
Gossip-Free: Leadership Techniques to Quell Office Chatter
Strategic ways to build your professional brand
Rewiring Your Emotional Triggers: Leading with Clarity and …
AI Fundamentals for All Leaders and Managers: How to Work S…
The $1M Mistake: EEOC Discrimination Claims Employers Make …
ChatGPT Jumpstart From intro to Download to Personal Assist…
Using Claude in Excel for Productivity, Automation & Data A…
2-Hour Virtual Seminar on the 6 Most Common Problems in FDA…
Do's and Don'ts of Documenting Employee Behaviour, Performa…
Why EBITDA Doesn't Spell Cash Flow and What Does?
HIPAA Compliance in 2026 — Practical Strategies for Breach …
FDA Regulation of Artificial Intelligence/ Machine Learning
How to Write Procedures to Avoid Human Errors
Secrets Of Psychology - Why People Do The Things They Do
AI in B2B Marketing: What Your Compliance Team Needs to Know