Building a Gold Standard Compliance Program

In the second installment of our webcast series, "Building a Gold Standard Compliance Program," we delve into the crucial process of drafting comprehensive policies and procedures. This pivotal step involves an examination of your current processes, as well as the allocation of responsibilities, determining the appropriate locations for record-keeping, and the level of detail required.

During the session, we will explore the distinction between standard operating procedures and desk procedures, guiding you on what to include in your manual and what to exclude. Additionally, we will address the establishment of clear lines of responsibility, the segregation of duties, and other vital controls necessary for the implementation of an effective compliance program.

Lastly, we will provide invaluable insights into the expectations of the SEC regarding the contents of a compliance manual. Listen in as we navigate through the formalization stage of developing a compliance program that aligns with the stringent requirements outlined in Rule 206(4)-7 of the Advisers Act.

Discussion topics

This webcast will focus on:

• Standard procedures
• Duties and responsibilities
• Essential controls
• SEC expectations

Who should attend

This webcast is for CCOs, COOs, and GC's looking to launch or enhance their compliance program with tried and tested best practices and foundational concepts. Firms of all sizes, from start-ups to those with an AUM over $1B, are welcome to attend.

Speakers

• Jaqueline Hummel, Director of Thought Leadership, ACA Group
• Myles Blechner, Director – Investment Advisory Consulting, ACA Group

All webcasts are recorded and will be sent to registrants following the broadcast.

Missed Session 1? Listen to our first webcast in the series here.