PPT-How New Technology and Regulations Will Impact the Future of RIA Compliance

How New Technology and Regulations Will Impact the Future of RIA Compliance May 24 2017 FPA of Georgia GJ King President RIA in a Box GJ is the President of RIA in a Box which provides compliance and operations support to over 1500 registered investment adviser RIA firms He is a frequent industry speaker on the topics of RIA compliance operations and technology best practices GJ previously worked in the investment management division of Goldman Sachs serving as a trusted advisor to a select group of high net worth entrepreneurs families and foundations King holds an MBA from the Graduate School of Business at Stanford University and a BA from Brown University. Presenter: . Michael Sass. . | . Accuntant-General. : . National Treasury. | . 13 July 2015. 1. “The legitimate object of government is to do for a community of people whatever they . need. Infinity & Beyond. Robert Rice. Interest in Technology. Fascinated by the changes in my lifetime. Noticed that the speed of changes is increasing. Predicting future of technology is getting more critical in order to make short or mid-term decisions. Ram Mohan . Johri. Principal Accountant General. Himachal Pradesh. Definition. Compliance audit deals with the . degree. to which the audited entity . follows rules, laws and regulations, policies, established codes, or agreed upon terms and conditions. Mike Reilly. The CBA. Our Challenges. Unintended consequences. Impact of knee jerk regulations. What we expect in 2017. Building bridges vs. a code – voluntary or legislated . The CBA. Voluntary association representing more than 70% of the credit bureau industry – including the 5 consumer bureaus.. Angelina Pillai. National Manager, Professional Development. Australian Human Resources Institute. AHRI – 73 years and counting. “CEOs know that they depend on their companies’. human resources to achieve success. . Possible Future Regulations. July 2016. Bill Dowbiggin, P.E., BCEE. . Presentation Outline. . . . Summary of . Anticipated . Future Regulations. The Regulatory Process. Discuss Potential Limits and Options for Compliance with the Regulations for Each Possible Regulation of Concern. Objectives. After reviewing this training and successful passing of the quiz, you will be able to:. Understand your responsibilities in maintaining a culture of compliance in the workplace. Learn where compliance policies and documents are located for easy reference. Wayne L. Mowery, Jr., Esq., . ECoP. ®. Director of Compliance. University Export Compliance . Officer. Empowered Official. Office of Ethics and Compliance. Office of Sponsored Programs. The Pennsylvania State University. Note: This presentation is merely a summary of . regulations, . official . statements and final rules published by the Departments of Commerce and State. Final rules, as well as the Export Administration Regulations and International Traffic in Arms Regulations, must be reviewed to determine the full scope of any applicable requirements. . After reviewing this training and successful passing of the quiz, you will be able to:. Understand your responsibilities in maintaining a culture of compliance in the workplace. Learn where compliance policies and documents are located for easy reference. April 11, 2011. Presented by Bart Mallon. Mallon P.C.. Overview. New Investment Adviser Registration Rules. Overview of Registration Process. Compliance Requirements. Recent Regulatory Actions / Other Items. May 24, 2017. FPA of Georgia. GJ King. President, RIA in a Box. GJ is the President of RIA in a Box® which provides compliance and operations support to over 1,500 registered investment adviser (RIA) firms. He is a frequent industry speaker on the topics of RIA compliance, operations, and technology best practices. GJ previously worked in the investment management division of Goldman Sachs serving as a trusted advisor to a select group of high net worth entrepreneurs, families, and foundations. King holds an MBA from the Graduate School of Business at Stanford University and a BA from Brown University.. Technology has transformed compliance management, offering efficient solutions to tackle regulatory complexities. Modern Compliance Management Systems automate workflows, provide real-time monitoring, and integrate seamlessly with other business systems. Compliance Software Solutions cater to various industries, ensuring regulatory adherence and data security. Emerging technologies like AI and blockchain further enhance these systems. ComplianceQuest Management Software is a leading solution, essential for businesses in 2024, due to its comprehensive features, adaptability, and integration capabilities, helping companies maintain compliance, secure sensitive data, and streamline processes efficiently. 2. Technology has changed the business world many times over.. . In the Information Age, the advent of computers and the Internet has increased that impact significantly. . Introduction. 3. Many businesses cannot even function without the use of...