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Speaker Profile
LISA . M. MARSDEN

Lisa M. Marsden IACCP- Coulter Strategic Services, LLC Lisa M. Marsden, IACCP ®, is the President and Founder of Coulter Strategic Services, LLC. Coulter Strategic Services, LLC provides Financial professionals and compliance consulting firms with compliance and project management services and customized compliance training. Coulter Strategic Services, LLC also provides financial regulatory compliance education to advisory firms, industry conferences, webinars and at the collegiate level for those seeking financial degrees. Prior to starting Coulter Strategic Services, LLC, Lisa was a partner and member of the C-Suite at Financial Advisory Firms in Florida. She holds a degree in computer programming from Keiser University and the Investment Advisor Certified Compliance Professional Designation and is a CFA Investment Foundations Certificate Holder. Lisa proudly served as the 2017 President of the Financial Planners Association of South Florida and was a Board member for several years. Lisa is currently a member of the FPA of South Florida, CFA Society of South Florida, Florida Securities Dealer Association and the National Society of Compliance Professionals.


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$200.00
Preparing a Financial Industry Compliance Manual and Code of Ethics and the Overall Annual Compliance Review

 Lisa . M. Marsden
 Recorded Webinar
 60 Minutes
 Download Catalog
Preparing a Financial Industry Compliance Manual and Code of Ethics and the Overall Annual Compliance Review

Building or Strengthening your firm’s Compliance Program? Attend our virtual seminar on the best practices for preparing the manual, code of ethics and conducting the required annual review. You will receive tools to help build or strengthening your compliance program. The Compliance program shall be designed to prevent, detect, and correct violations of the Advisers Act. The overall compliance program must..

$200.00
Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices

 Lisa . M. Marsden
 Recorded Webinar
 60 Minutes
 Download Catalog
Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices

Many cyber incidents have originated from a third party vendor. Has your firm conducted a review and risk assessment of the third-party vendors you rely on every day to provide services to your firm and your clients? Do you know what type of cyber risk these vendors may present? Do you know how to protect your firm’s critical data? Conducting this risk assessment at least once a year is now a necessary comp..

Showing 1 to 2 of 2 (1 Pages)