Building a Gold Standard Compliance Program
Tune in to our on demand webcast series about creating a best-in-class compliance program.
In this session, we discuss the initial steps necessary to develop and organize a compliance program that meets the requirements of Rule 206(4)-7 of the Advisers Act.
In this session we delve into the crucial process of drafting comprehensive policies and procedures. This pivotal step involves an examination of your current processes, as well as the allocation of responsibilities, determining the appropriate locations for record-keeping, and the level of detail required.
In this session, we focus on the developing and monitoring of compliance policies and procedures.
Here we continue our discussion on testing methodologies and parameters, provide suggestions on how to document the results of testing and monitoring, outline the crucial process for follow-up when errors or issues are found, and the process for defining how findings will be remediated.
Take a close look at critical strategies for engaging with senior leaders to help enhance your compliance program.
Tune in to gain invaluable insights on preparing for an SEC Exam, dealing with regulators, responding to difficult questions, and more.
Every compliance program should change and evolve based on testing results, regulatory changes, business and operational changes, and industry best practices. Here we turn our attention to the ongoing challenge of updating and maintaining your compliance program to meet new and evolving business demands.