Regulatory Compliance Education Benefits the Whole Team

by Kimberly Van Winkle, Chief Compliance Officer and Director of Operations

I recently had the opportunity to attend the annual Regulatory Compliance Conference in Boca Raton, FL. In addition to bringing colleagues from both the Registered Investment Advisor (RIA) side and Broker-Dealer side of the financial services industry together, this educational event is a forum for discussing hot button topics for Chief Compliance Officers (CCOs). This year, the conference focused on how to remain compliant and nimble in the evolving regulatory landscape.

Everyone in attendance was thoroughly knowledgeable and willing to collaborate on a wide range of topics, including: risk management, senior sales practices, succession planning/business continuity planning, CCO liability, marketing and social media, and cyber security.

One of the benefits of attending this conference is having the opportunity to network with my peers and share advice and information. It enables me to provide the highest level of service to my colleagues at Twelve Points, in addition to our clients. I enjoy putting everything I learn at conferences like this to good use.

As CCO of Twelve Points, I’m responsible for mitigating risk and ensuring the firm operates within federal and state regulatory requirements. Rules change on a regular basis, as do the needs of our clients; it’s educational opportunities like this conference that give me the tools I need to keep things operating at their peak.