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NSCP: Free Webinar – How to Successfully Navigate State Investment Adviser Regulations

February 24, 2015

Event status: Not started (Register)
Date and time: Tuesday, February 24, 2015 3:00 pm
Eastern Standard Time (New York, GMT-05:00)
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Duration: 1 hour
Join NSCP and Renaissance Regulatory Services, Inc. on {date and time} for a free webinar on the compliance issues faced by state registered investment advisers. Presenters will provide timely information on common exam findings by state regulators and how to be prepared for a state regulatory examination.

Topics Include:

• Common Deficiencies Found through the States’ Coordinated Exam Process
• Compliance Areas with the Most Deficiencies
• Common Deficiencies within Certain Business Models and Specialty Practices
• Compliance Procedures you can Implement to Avoid Deficiencies
• Why Does this Matter? – Recent Enforcement Actions
• Requirements Specific to State Investment Advisers

Michael Huggs & Rick White

Michael Huggs – Mike is Director of the Mississippi Secretary of State Securities Division. He joined the Division in January 2001. He is a graduate of the University of Mississippi and a Certified Fraud Examiner. In addition to overall operations of the Division, his duties include “routine” and “for cause” examinations of brokerage firms and investment advisers as well as conducting investigations of possible violations of the Mississippi Securities Act. In addition, Mike has actively participated in the Mississippi Secretary of State’s investor education programs as a speaker for the Jump Start Coalition “Money Matters” seminars, which promote financial literacy to high school students. Mike serves as Chairman of the North American Securities Administrators Association Investment Adviser Operations Project Group which is responsible for developing examination procedures for state investment adviser examiners. Prior to joining the Mississippi Secretary of State’s Office in January 2001, Mike worked in retail investments and commodities.

Rick White – Rick is the Managing Director for Regulatory Services at Renaissance Regulatory Services, Inc. (“RRS”). He has over twenty five years of experience with the State of Florida, Division of Securities, including six years as the Director of the Division where he was responsible for all aspects of the Division’s examination, licensing, and enforcement programs for the Securities Industry. Prior to being appointed as Division Director, Mr. White served for ten years as a Financial Administrator in the Division’s examination program, and four years with the Division’s licensing program, during which time he initiated numerous process improvement and automation projects. Rick also has over four years of experience as a securities compliance consultant and expert witness.



February 24, 2015
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