{"id":1452,"date":"2025-05-30T12:29:00","date_gmt":"2025-05-30T12:29:00","guid":{"rendered":"https:\/\/bdia.wpenginepowered.com\/?p=1452"},"modified":"2025-06-02T16:45:00","modified_gmt":"2025-06-02T16:45:00","slug":"top-compliance-program-mistakes-and-how-to-avoid-them","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/05\/30\/top-compliance-program-mistakes-and-how-to-avoid-them\/","title":{"rendered":"Top Compliance Program Mistakes (and How to Avoid Them)"},"content":{"rendered":"\n<p>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 <a href=\"https:\/\/sec3compliance.com\/\" title=\"\">SEC<sup>3<\/sup><\/a> have put together a three-part series to discuss common compliance program mistakes investment advisers make and how to avoid them.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/sec3compliance.com\/common-compliance-mistakes-neglected-compliance-manual\/\" title=\"\">Part One covers how to build a relevant and engaging compliance manual<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/sec3compliance.com\/compliance-manual-best-practices-part-2\/\" title=\"\">Part Two focuses on developing clear compliance procedures<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/sec3compliance.com\/top-compliance-program-mistakes-and-how-to-avoid-them-part-3-of-a-three-part-series\/\" title=\"\">Part Three examines examples of compliance failures and how to remedy them<\/a><\/li>\n<\/ul>\n\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>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.<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1452","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1452","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1452"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1452\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1452"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1452"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1452"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}