The process of mitigating risk begins with identifying the risks within your firm. This is a necessary element in developing
and maintaining a strong risk and compliance program. This session will focus on common risks and conflicts of interest related to registered investment advisers that are affiliated with trust departments, and the current regulatory hot topics with the most impact. Attendees will hear about the practical aspects of creating a meaningful and usable risk control matrix, and the benefits that such an assessment can provide to their compliance programs.

Learning Objectives:

• Discuss the conflicts of interest most prevalent in bank affiliated registered investment advisers
• Discuss practical risk control practices and ideas, including automation
• Get the latest on regulatory hot-topics specifically applicable to bank affiliated registered investment advisers

If your company either already has both Trust and RIA services or you are considering adding an RIA to your business model, this is a session you won’t want to miss!