Compliance Policies & Procedures Webinar

When: Pre-recorded webinar – Nov 19th, 2013
Where: On-site


Compliance Policies & Procedures: Samples and Tips to Establish and Maintain a Manageable Process

It’s one of your fundamental duties – overseeing reasonable compliance policies and procedures.

From the SEC: Failure of an adviser or fund to have adequate compliance policies and procedures in place will constitute a violation of rules independent of any other securities law violation.

You need to ensure your compliance P&Ps stay current. Gain critical tips and ideas to develop an enduring process to spot deficient policies, improve them and make them clearly understandable to staff by purchasing the CD from our November 19th webinar.

You’ll learn:

  • How SEC examiners use your policies and procedures during exams
  • Errors to avoid when updating compliance policies and procedures
  • How to enlist the help of staff to improve your P&Ps and to train employees to follow them
  • The role your annual review plays in pinpointing policy problems
  • Advice for writing policies in plain-English
  • An approach to using regulatory changes as a key to prompt new P&Ps

To purchase this webinar on CD, visit the IA Watch site.

Bonus: Included are actual policies and procedures in areas such as allocation, custody, privacy, and advertising and marketing.