Panelists
Laurie P. Roberts
President and Chief Executive Officer
Cheatham Roberts Consulting, Inc
Ms. Roberts is a securities and compliance expert with over 25 years of experience managing regulatory and risk management matters for broker-dealers and registered investment advisors. She is the President and Chief Executive Officer of Cheatham Roberts Consulting, Inc. Prior to joining the Company, Laurie was Managing Director and Chief Compliance Officer of Civitas Capital Group and each of its operating divisions, including EB-5 Capital, Alternative Investments, Real Estate Development and Asset Management. Under Laurie’s stewardship, Civitas Capital created over 53 funds and increase in assets under management from under $100 Million to over $1.3 Billion, completing 47 real estate projects with investors located in 30 countries. Prior to joining Civitas Capital, Laurie was President of USA Mutuals and USA Mutuals Advisors, Inc. In that capacity, she directed all operations of the trust through US Bank Fund Services and the advisor, including oversight of the sub-advisor, sales and marketing, public relations, financial operations, portfolio management and compliance. She also co-founded two broker-dealers where she acted as their Chief Compliance Officer. She holds FINRA Series 7 and 24, securities licenses. Laurie holds a Master of Science in Organizational Development from the University of Texas at Dallas and Bachelor of Science in Business Administration from Oklahoma State University.
Shua Saaqib
Senior Manager
MetricStream
We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.
Field of Study:
Management Advisory Services: 1 CPE Credit
Program Delivery Method: Online
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None
Regulatory complexity and constant attention from regulators is more common now than ever before. It is becoming difficult for organizations to keep up with the challenges in compliance while also measuring and monitoring compliance risks. Given the nature and levels of risks inherent to their business activities, organizations need to have in place a compliance-risk management framework that makes it possible to identify, monitor, and effectively control the compliance risks facing their entire organization. It’s no surprise then that compliance risk management has emerged as a key business priority across the globe.
To find out more, please join this MetricStream webinar that will cover:
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