Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
As September rolls in, it’s the perfect season to put compliance training front and center. A strong compliance program depends on more than policies - it thrives when every team member understands their role in keeping the firm on track. This month, we’re focusing on the annual compliance meeting, giving you the tool and template to run this year’s session that’s not only thorough but engaging and effective in covering all the topics for 2025.
Our September Round Up delivers the tools you need to make compliance training count, conduct a successful annual meeting, and keep your firm sharp and ready for the road ahead
This Month’s Trail Markers:
- Compliance Training: Training isn’t just a regulatory requirement - it’s an opportunity to strengthen your firm’s culture of compliance each year.
- Annual Compliance Meeting Template: Your annual meeting sets the tone for the year ahead. This month’s template provides a clear roadmap to guide your session in Q4.
- Focus on educating on reporting Outside Business Activities (OBA): OBAs are a frequent focus during exams - and a common source of compliance missteps. Firms should ensure that all employees understand: Disclosure Requirements, Conflict Awareness, Ongoing Oversight.
At True West, we believe compliance training is your compass on the trail -keeping your firm steady, your people prepared, and your regulators confident. So, saddle up, roll out that meeting template, and lead your firm through a training season that strengthens the whole herd in 2025.
Whether you're on the trail or planning the next leg of your journey, now’s the time to refocus and ride forward with clarity. No summer slowdown required.
Saddle up. Stay sharp. And ride steady — we’ve got your back.
Stay compliant and proactive with your policies and procedures
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