Tag: SEC audit

January 28, 2016 David Gemma

6 Steps to Ensuring a Culture of Compliance

Over the past 15 years of providing enterprise CRM solutions to Investment Advisory firms, it was always the Chief Compliance Officers that were the most excited about a new CRM solution.

Step 4 in the following article, Breaking Down Silos, explains exactly why:

       1) Fostering collaboration between business units,

       2) Consolidating data from across the firm into a centralized portal to identify key trends & constantly monitor & proactively alert Compliance Officers of (potential) issues.

Automating Compliance Monitoring

There is just too much information for a CCO to sift through manually.  The right CRM helps people from different business units around the firm to work cohesively, prevent tasks from slipping through the cracks, avoid errors and provide a higher level of client service.

Combine that with automated Compliance monitoring of all key data and your firm will evolve from being completely reactionary to actually having some foresight that can help to avoid Compliance and Client Relationship issues.

David Gemma is a Managing Director and CMO at UNAPEN, Inc. (What’s a UNAPEN?)

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September 16, 2005 David Gemma No comments exist

  UNAPEN CEO Addresses the Managed Accounts Industry in Boston, MA on September 22, 2005

Wallingford, CT: September 16, 2005—Joseph Walker, CEO of UNAPEN, Inc.—a Connecticut-based consulting and software firm focused on the Financial Services Industry—is a moderator at the 4th Annual Managed Accounts Summit on September 22, 2005 at The State Room in Boston, MA presented by Financial Research Associates, LLC. The panel discussion is entitled “Regulatory Roundtable: Key Compliance Issues Affecting the SMA Market”. See below for schedule and details.

2:15 PM, Thursday, September 22, 2005
Regulatory Roundtable: Key Compliance Issues Affecting the SMA Market

What are the SEC focus areas affecting the SMA industry?
What do they look for in an audit?
Best execution issues and the SMA issues
Suitability issues and “know your client”: Who is responsible?
What are the compliance issues that arise when outsourcing back office functions?

Moderator:
Joseph A. Walker, Managing Director & CEO
UNAPEN, Inc.

Panelists:
Michael S. Caccese, Partner
Kirkpatrick & Lockhart Nicholson Graham LP

Margaret Sheehan, Partner
Alston & Bird LLP

Vincent J. Lepore, Senior Advisor
MMI