{"id":890,"date":"2019-02-04T14:05:56","date_gmt":"2019-02-04T14:05:56","guid":{"rendered":"http:\/\/localhost\/?p=890"},"modified":"2019-02-04T14:05:56","modified_gmt":"2019-02-04T14:05:56","slug":"write-the-best-annual-compliance-program-review-ever","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/02\/04\/write-the-best-annual-compliance-program-review-ever\/","title":{"rendered":"Write the Best Annual Compliance Program Review EVER!"},"content":{"rendered":"<p>Many chief compliance officers struggle every year with preparing the annual review and, based on the OCIE\u2019s summary of the <a href=\"https:\/\/www.sec.gov\/ocie\/Article\/risk-alert-5-most-frequent-ia-compliance-topics.pdf\">most frequently identified exam deficiencies<\/a>; some are not up to the task.\u00a0 To help you out,\u00a0Jaqueline Hummel\u00a0and Hardin Compliance Consulting LLC suggest the following:<\/p>\n<p>The review should answer these questions:<\/p>\n<ul>\n<li>Were recommendations from the prior year\u2019s annual review implemented?<\/li>\n<li>Were the firm\u2019s compliance policies and procedures adequate and followed consistently?<\/li>\n<li>Are there any operational or compliance risks or weaknesses that need to be addressed?<\/li>\n<li>Should any changes be made to the firm\u2019s policies and procedures?<\/li>\n<\/ul>\n<p>Here\u2019s a basic outline for the report:<\/p>\n<ol>\n<li><u>Background<\/u><\/li>\n<li><u>Overview of the review process<\/u><\/li>\n<li><u>Identify the Principal Risks addressed through Compliance Policies and Procedures<\/u><\/li>\n<li><u>Business, Industry and Regulatory Developments<\/u><\/li>\n<li><u>Evaluation of the Adequacy and Effectiveness of Compliance Policies and Procedures, and Recommendations<\/u><\/li>\n<\/ol>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/write-the-best-annual-compliance-program-review-ever\/\">Read her full post here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Many chief compliance officers struggle every year with preparing the annual review and, based on the OCIE\u2019s summary of the most frequently identified exam deficiencies; some are not up to the task.\u00a0 To help you out,\u00a0Jaqueline Hummel\u00a0and Hardin Compliance Consulting LLC suggest the following: The review should answer these questions: Were recommendations from the prior &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/02\/04\/write-the-best-annual-compliance-program-review-ever\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Write the Best Annual Compliance Program Review EVER!<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"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-890","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\/890","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\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=890"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/890\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=890"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=890"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=890"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}