Cornerstone Revolutions, LLC, Partners with Thomas Rausch of Compliance Consultants, LLC, to Provide Free Compliance Webinars for Investment Advisors
Thomas Rausch, compliance expert, will be offering two free compliance Webinars for professional investment advisors through the Cornerstone Revolutions' Webinar series. The first class, "Preparing for the Regulator's Exam: Common Compliance Deficiencies" will be held January 15. The second session, "Preparing for the SEC Exam: Policies, Procedures, Internal Controls, and Risk Perspectives," will be held on February 19. Both sessions will begin at 10am PST.
Portland, Oregon (PRWEB) November 14, 2007 -- Cornerstone Revolutions announced its partnership today with compliance expert Thomas Rausch, CPA, CFP®, owner of Compliance Consultants, LLC, to provide professional investment advisors the opportunity to expand their compliance knowledge-base through two classes offered as part of Cornerstone's Webinar advisor education series.
Rausch, a certified public accountant and certified financial planner from the Greater Seattle Area will be speaking January 15 on "Preparing for the Regulator's Exam: Common Compliance Deficiencies" and February 19 on "Preparing for the SEC Exam: Policies, Procedures, Internal Controls, and Risk Perspectives." Both sessions will begin at 10am PST.
There is no cost to advisors for the Webinar sessions although pre-registration is required at Webinar Registration.
Pointing out that 81% of all SEC audits in 2006 resulted in a deficiency letter-1, Cornerstone identified compliance as one of the greatest ongoing challenges for investment advisors.
"We've partnered with a compliance expert to be proactive in addressing an issue that is probably one of the top two challenges investment advisors face today," said Angela Lyles, Cornerstone's CEO. "Thomas Rausch brings the level of expertise advisors need when navigating the Regulator's and SEC exams."
Rausch currently holds Series 6, 7, 22, 63, and 65 licenses, is a registered representative of a Financial Industry Regulatory Authority (FINRA) broker/dealer, and serves as an arbitrator for FINRA Dispute Resolution. He is an active member of the Washington Society of Certified Public Accountants (WSCPA), a past chair of the legislative/regulations sub-committee of the WSCPA's Personal Financial Planning Committee, and a past director of the Puget Sound Chapter of the Financial Planning Association.
"When I help advisors improve their compliance programs, I work with them to build systems that automate routine compliance functions. Making compliance automatic allows resources to be applied to handling exceptions," says Rausch.
Held the third Tuesday of each month at 10am PST, Cornerstone's Webinar series brings the experts to the financial advising community at no cost with pre-registration. For upcoming sessions, visit Webinar Schedule.
1- Lori A. Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, from remarks given at the 9th Annual IA Compliance Best Practices Summit, March 23, 2007
For a complete listing of Cornerstone asset management tools and pricing, visit the Cornerstone Web Site, or call Eric Duran or Andrew Kehoe of Cornerstone Revolutions at 503-968-7202 for additional information.
About: Cornerstone Revolutions, LLC, is a software development firm specializing in applications for financial professionals, located in Portland, Oregon.
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