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Having the right policies and procedures in place is a key component of an effective compliance program, but it’s only part of the equation.
I had the good fortune to participate in a compliance panel with esteemed adviser CCOs in which we shared our lessons learned about building and maintaining effective compliance testing programs from top to bottom.
Ever since the SEC and other regulatory bodies (i.e., FINRA) identified the possibility of “significant business disruptions” many years ago and mandated that registrants create, maintain, and test a Business Continuity Plan (“BCP”), these plans have rarely been taken very seriously until they are needed.
Get our 10 useful tips for evaluating your investment advisory firm’s pay-to-play policy.
In order to revolutionize compliance for good, we are announcing today new, expanded compliance services to complement our technology platform.
The SEC is recognizing that limits on travel, reduced personnel, and other business disruptions as a result of the coronavirus may cause delays in meeting regulatory filing deadlines and other regulatory obligations.
In part two of our panel recap where we discussed compliance testing programs for small and medium-size firms, we zero in on the foundation.
