ABA/FIRMA Telephone Briefing*
A Telephone Briefing presented by the American Bankers Association (ABA) and Fiduciary & Investment Risk Management Association (FIRMA)
This recording of the live, ninety-minute telephone briefing held on November 15 provides a not-to-miss compliance and risk management update for understanding the requirements and latest best-practices for your account and investment review activities.
A panel of industry leaders provide an in-depth look at how the industry complies with the annual review requirement. All fiduciary professionals who are responsible for audit, compliance, and risk management should take this opportunity to hear our panelists discuss the applicable Regulation 9 compliance issues.
| Program Date |
Audio Recording Now Available |
| Per Site Fees** |
$225 ABA/FIRMA Member/Service Member • $355 Non-Member |
| Registration |
Not applicable |
| Audio Recording |
Purchase Online (PDF)
Please note recordings are not eligible for CPE for CPA credits. |
| Credits |
This recording has been approved for 2.0 CRSP, 2.0 CSOP, 2.0 CTFA (FID) continuing education credits.
The Institute of Certified Bankers (ICB) is dedicated to promoting the highest standards of performance and ethics within the financial services industry. |
After attending our telephone briefing, you will learn:
- About the OCC’s plans to revise Regulation 9
- Gain an understanding the specific regulatory requirements for the review of fiduciary accounts under Reg 9.6
- Gain an understanding of the key risks for the investment review process – such as pricing, timing, reporting, and validation
- The latest improvements and risks / tradeoffs associated with automated investment reviews
- Best practices in implementing investment and administrative reviews, including key not-to-miss steps and how to avoid common pitfalls
- Current and specific industry initiatives for changing investment and administrative review compliance.
Speakers:
- Lisa Carroll, Senior Compliance Officer, Edward Jones Trust Company, St. Louis, MO
- Jim Marion, National Fiduciary Advisor Executive, U.S. TRUST, Bank of America Private Wealth Management, Chicago, IL
- Paul Martini, Vice President – Director of Administration, Investment Management Group, Fifth Third Bank, Cincinnati, OH
- Judi McCormick, National Bank Examiner, Asset Management Division, Office of the Comptroller of the Currency, Washington, DC
Who Should Attend?
- Fiduciary Executives
- Senior Fiduciary Management
- Compliance Managers
- Risk Managers
- Trust Administrators
- Trust Auditors
- Fiduciary Counsel
- Trust and Investment Committee Members
*ABA's Telephone Briefings include reference materials and telephone audio. Telephone/Streaming/Webcast Briefings include reference materials, telephone audio, and simultaneous webcast presentation (requires 56K or faster with JavaScript and cookies enabled in the browser, i.e., Microsoft Internet Explorer 4.0 or later, or Netscape 4.7X).
**Each site license (registration fee) entitles you to one connection (when there is a simultaneous webcast presentation) where an unlimited number of listeners can participate.
Any transmission, retransmission or republishing of the audio or Web portions of this briefing is strictly prohibited.