Monday, December 14, 2009
You are cordially invited to join us for our Business Continuity Management web event on Wednesday, December 16 @ 10:00 a.m. Pacific Time
Please join us. You are invited!
Space is limited.
Reserve your Webinar seat now at:
https://www1.gotomeeting.com/register/127240576
Space is limited.
Reserve your Webinar seat now at:
https://www1.gotomeeting.com/register/127240576
BCCP PRESENTS: BEKKER COMPLIANCE INSTITUTE (BCI) WEB EVENT
PART II: BUSINESS CONTINUITY PLANNING & MANAGEMENT: BE PREPARED!
How to stay in business during an operational crisis
Wednesday, December 16 @ 10:00 a.m. Pacific Time
Featuring:
A-TEAMER ROBERT CONLON, BUSINESS CONTINUITY PLANNING AND MANAGEMENT EXPERT
&
CARRIE BEKKER, FOUNDER & CEO OF BCCP/BCI
In today's tough economic times, the workplace is fragile. If your firm is faced with an unanticipated business disruption -- and if you do not have a resilient Business Continuity Plan – it could paralyze your firm’s ability to do business!
IF YOUR FIRM CANNOT CONDUCT BUSINESS, THEN YOUR FIRM MAY NOT STAY IN BUSINESS. IT DOESN'T TAKE MUCH THESE DAYS TO PUSH BUSINESSES TO THE BRINK OF BANKRUPTCY, AND IT DOESN'T TAKE TOO LONG EITHER.
BUT YOU ARE NOT ALONE ... WE CAN HELP!
In the meantime, please feel free to visit our website at www.bccp-llc.com for additional information about BCCP/BCI and the consulting and education/training solutions we provide to our global financial services clientele.
Happy Holidays to you and your family!
All the best,
Carrie
Happy Holidays to you and your family!
All the best,
Carrie
Carrie F. Bekker
Founder & Chief Executive Officer
BEKKER COMPLIANCE CONSULTING PARTNERS, LLC (BCCP)
BEKKER COMPLIANCE INSTITUTE (BCI)
BEST IN THE WESTSM VIRTUAL OFFICE SOLUTIONS (BITW)
With Us It’s All About YouSM
Labels: Bekker, business continuity, business management, compliance
Sunday, December 13, 2009
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Wednesday, December 02, 2009
January 2010 is just around the corner! Don't wait until the last minute to fulfill your 2009 year-end compliance obligations!
- Is your Compliance Department shorthanded due to lean staffing?
- Are you still grappling with finishing up your 2009 year-end obligations, such as:
- Independent AML audit?
- 1940 Acts 38a-1, 206(4)-7 annual review?
- FINRA/NASD 3012/3013 annual review?
- OSJ and branch office audits?
- Do you have other year-end compliance obligations that you are still challenged to complete?
BCCP CAN HELP! And we’re just a phone call away – 818/836-1291 – or by email cbekker@bccp-llc.com. Also please visit our website at http://www.bccp-llc.com.
We have scores of seasoned, experienced Senior Consultants at all levels – auditing, compliance, risk management, governance, operations, and IT -- located across the USA, Canada, Asia Pacific, the Middle East, and other regions around the globe. Whatever your firm’s needs are – whether it’s an extra hand in December, getting that annual AML audit done, or other year-end pressing compliance matters – we have the right Senior Consultant to help you with your firm’s unique requirements.
BCCP also offers affordable year-end regulatory “health checks” that will give your firm a clearer idea of the compliance risks your firm will need to address in early 2010. For example:
Registered Investment Advisers
· IARD Administrative Functions | · Action Plan for Annual Review |
· Form 13F Reports | · Code of Ethics Enforcement |
· Form U4 Amendments | · Calculation of Assets Under Management |
· Employee Certifications and Acknowledgements | · Advertising Reviews |
· Solicitors | · Form ADV Reviews |
· Records Management | · Testing of Disaster Recovery Plan |
· Compliance Training | · Updating IPS or Client Investment Objectives and Risk Tolerances |
· Privacy | · Vendor Relationships |
Broker/Dealers
· Business Continuity Plan | · Electronic Storage of Books and Records |
· Firm Element Plan (CE) | · AML Plan |
· Firm Element Training/CE Done to Date | · AML Independent Audit |
· Written Supervisory Procedures | · Limited Size and Resources Exemption (if applicable) |
· Public Disclosures on Form BD and Elsewhere | · Annual Compliance Meeting |
· Registered Representative Limitations | · Membership Agreement Provisions |
· Business Line Limitations or Restrictions | · ·State Renewals |
· Required Notices to Customers Under GLB, Reg. S-P (or other rules) | · Control/Ownership Changes |
PLEASE CALL BCCP TODAY for a complimentary consultation! We’re here 24 hours a day, 7 days a week @ cbekker@bccp-llc.com & 818/836-1291. Also please visit our website at www.bccp-llc.com.
Best wishes for an enjoyable, safe, and compliant Holiday Season!
Carrie
Carrie F. Bekker
Founder & Chief Executive Officer
Bekker Compliance Consulting Partners, LLC (BCCP)
Bekker Compliance Institute (BCI)
Best in the WestSM Virtual Office Services (BITW)
skype: bccp-llc, +1.818.381.4805
Senior Consultants, Subject Matter Experts & Instructors Worldwide!
Global Headquarters:
19360 Rinaldi Street, Suite 453
Porter Ranch, CA 91326
Phone: +1.818.836.1291
Follow me on Twitter! BCCPbekker