Compliance With SEC Compliance Program Rules: What Do We Know in Year Three?
Tuesday, June 10
2:00 PM EDT (18:00 GMT)
1 CPE Credit: Specialized Knowledge and Applications*

Investment managers have invested significant resources in developing and assessing their compliance programs. What leading practices have others developed that can help you obtain both efficiency and effectiveness? We'll discuss:

• Evaluating service providers and sub-advisors, including an overview of AICPA's Statement of Position 07-2, and the usage of third-party reports.
• Efforts to consolidate risk and control evaluation initiatives throughout an extended enterprise.
• Tests used to assess compliance in specific areas.
• Reporting results to interested parties such as management, the Board, and clients.

Learn about new and practical approaches for the design and effectiveness of your compliance programs.