Best Practices for Assessing and Addressing Risk

04/09/2013 02:00 p.m. - 03:30 p.m. EDT

Securities Enforcement


Before you hone your critical compliance policies and procedures, according to the SEC, you “should first identify conflicts and other compliance factors creating risk exposure for the firm and its clients in light of the firm’s particular operations.”
The difficulty comes in translating this need into tangible action. How do you assess and discover your firm’s risks? How do you mitigate the risks you uncover?
Gain answers to these questions and more from a panel of experts that will help you to visualize various ways you can keep a watch on your firm’s new and emerging risks and address them.
Topics Include:

  • Know the SEC’s expectations for you when it comes to dealing with risks and conflicts – as well as the punishment firms may face that are deficient in this area
  • Hear fresh examples of how your peers spotted and dealt with emerging risks
  • Understand how to tie your risk assessment process into your annual review
  • Score techniques for testing your approach to mitigating key risks and conflicts
  • Gain tips on how best to disclose your firm’s risks
  • Find out how you can train staff to respond properly to conflicts of interest
  • Add to your ability to detect potential conflicts inherent in relationships with third parties

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