Upcoming ComplianceCasts™

How Organizations Can Promote Ethics

Date: Thursday, Oct. 17, 2019
Time: 2 pm – 3 pm ET
(Can’t make it? Replay is available for all registrants.)

Written ethical standards are useless if employees – especially a firm’s leadership – don’t follow them. Please join CSS Ascendant Consultant Victoria Olson and seasoned Ethics Officer, Kimberly Tabb, JD, to learn how you can breathe new life into your written Code of Ethics. This ComplianceCast will explore ways that organizations of all sizes can promote ethical behavior and decision making, from hiring to firing, to everything in between.

Fill out the form below to register for this ComplianceCast.

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What Are ComplianceCasts™?

The Compliance Solutions Strategies team offers ComplianceCasts, a customized web-based curriculum for IAs, BDs and hedge funds. ComplianceCasts intuitively examines the relationships between key regulatory issues and real-world business operations, addressing the educational needs of compliance officers and staff. Designed for your whole firm, ComplianceCasts are run by Ascendant experts with more than 25 years of experience in developing compliance training programs.

ComplianceCasts training focuses on key areas of interest for compliance, operational, and management personnel. Each ComplianceCasts session further integrates annual review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of all compliance issues.

You will access ComplianceCasts via our secure link and view state-of-the-art active presentations – all you need is a web browser and a phone line to participate in real-time responses by panelists and information sharing with other participants.

To check out our ComplianceCast archive, click here.


View ComplianceCast™ Archive


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