Trust Compliance Conference Call

Trust Compliance Conference Call.

Wealth Management Compliance Alliance conducts a quarterly conference call with compliance officers, chief fiduciary officers and other trust managers who are interested in what is going on in the regulatory landscape. The callers will share recent examination experiences and compliance policies and procedures issues.

Typical Agenda:

Review ground rules – Intro by facilitator.

Introductions/Roll Call. Name, org, position.

  • Examination Update:

Who has recently (in last 3 months) been examined? And by what regulator?

What did the regulators focus on or emphasize in the exam or in their conversations with you?

What should we be prepared for when we are examined?

What was the attitude of the examiners?

WMCA Tool Kit Discussion – Topic TBD

Open Forum for Questions and Answers

 

Schedule of Calls:

The second Tuesday of the second month of each quarter.

State/OTS Examined Organizations – 9:00 am central time zone OCC Examined Organizations – 10:00 am central time zone.

Investment:

  • $250 per year. This amount will be invoiced in June of each year.  New subscribers will be invoiced a pro-rata amount.
  • Complimentary for Pohl Consulting and Training retainer clients & TRUSTCOMPARE® subscribers

Compliance Conference Call Information and Registration Form