Webinar to guide attendees on best practices in balancing the business needs of Portfolio Managers and Traders, while managing the required risk parameters of accounts and trading regulations
BOSTON, MA – June 2, 2016 – IMP Consulting today announced an educational webinar on compliance best practices titled, “Trade Compliance Through The Lifecycle of a Trade: Building an Environment of Trust Between Portfolio Managers & Compliance.” The webinar, co-hosted by FrontLine Compliance and introduced by the National Society of Compliance Professionals (NSCP), will take place on Tuesday, June 7, 2016 at 2:00 p.m. ET and will include a presentation followed by a question-and-answer session.
Lisa Crossley, Executive Director of NSCP, will introduce an interactive discussion with Jane Stabile, President of IMP Consulting; Jon Gold, Managing Director of IMP; Amy Lynch, Founder and President of FrontLine Compliance; and Renee Esfandiary, Assistant Director (IA/IC) SEC, Office of Compliance Inspections and Examinations (OCIE). The panel will walk through the lifecycle of a trade with a 360-degree perspective from Portfolio Management, Traders and Compliance teams.
“Portfolio Managers and Traders frequently complain about the Automated Trading Compliance System,” said Jane Stabile, President of IMP Consulting. “Although PMs typically sign-off on the compliance rules when they are implemented, subsequent changes to data, process, etc. can create unnecessary noise that impedes trading and may actually increase risk. This webinar will discuss examples of what may not be working in the current process and how to implement changes that will support a unified and seamless trading workflow.”
Additional topics of the webinar include:
- Trade monitoring from the PM/Trading perspective
- Trade monitoring from the Compliance perspective
- Overcoming trade order management system challenges
- Addressing pre and post trade compliance challenges
- Compliance system challenges and best practices to overcome them
About IMP Consulting
IMP Consulting is the industry leader in OMS implementation and compliance solutions for buy-side investment management firms and hedge funds. IMP also offers advisory services, system review and selection, and management of outsourced projects across the front, middle and back-office. Known for their deep subject matter expertise in OMS, EMS, Compliance and Accounting Systems, IMP's Consultants understand the commercial landscape and have broad, hands-on experience with the world's leading investment software products. To learn more, please visit www.impconsults.com or call (617) 314-7415.
About FrontLine Compliance
Since 2006, FrontLine Compliance has shown top-tier investment firms the strategic and economic advantages of thinking proactively and strategically about compliance. Our consulting services employ a deep-dive, customized approach that is rigorous and irrefutably successful. Our clients enjoy prompt response and ready access to our senior executives. We have a 10-year experience prerequisite for our consultants - they’re former SEC examiners, FINRA investigators and CCOs fluent in Investment Adviser and Investment Company ’40 Act rules, FINRA/SEC regs and compliance technology. Visit www.frontlinecompliance.com to see how our first-hand knowledge of compliance rules and regulations become strategy-driven solutions helping you achieve your compliance and business goals.