Chief Compliance Officers face the challenge of running a comprehensive yet efficient compliance program that nimbly adapts to changing regulatory requirements and business practices. To assist you, our friends at SEC3 have put together a three-part series to discuss common compliance program mistakes investment advisers make and how to avoid them.
- Part One covers how to build a relevant and engaging compliance manual
- Part Two focuses on developing clear compliance procedures
- Part Three examines examples of compliance failures and how to remedy them
