Compliance Reference Guide
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A slew of new regulations in addition to stricter interpretation and enforcement of regulations already on the books have made the changing compliance landscape more complex than ever. Whether in the interest of national security or greater corporate transparency and accountability, many new requirements add to the burden of education, implementation, documentation and enforcement on the part of investment advisors.
This thorough reference guide was created to help investment advisors gain a better understanding of the broad and changing scope of compliance. In this handy 24 page reference guide, you will learn about the numerous aspects of compliance. The guide's chapter titles are:
- Creating a Culture of Compliance
- Drivers of Compliance
- Regulatory Compliance
- Failure to Comply: the Consequences
- Education and Training
- Preparing for an SEC Exam
So whether you are looking for information on trading error correction, client privacy, the appointment of a CCO, or some statistics on monetary penalties and disgorgement ordered by the SEC, you 'll want this guide.
