Best Practices in Compliance Forensic Testing

Robust policies and procedures are a critical part of any compliance program. However, even the best policies and procedures are only effective to the extent that they are followed. Accordingly, it is important for advisers to implement testing to ensure that their compliance program is working as designed.

Please join ACA for a discussion on best practices in forensic testing, including electronic communications reviews and trade surveillance.

Discussion Topics:

• Electronic communications reviews;
• Testing related to conflicts of interest; and
• Trade surveillance.