You’ve got a compliance program in place. How should you go about testing it? The SEC has strongly suggested that advisers conduct “forensic testing” of their policies and procedures, looking for patterns or trends over time that may suggest weaknesses in their compliance program. This web cast will:

• Discuss common testing methods in the key areas that are most often reviewed by the SEC
• Instruct advisers how to document testing and results
• Provide guidance in selecting who should conduct the testing
• Discuss the limits of “testing” the compliance programs of sub-advisers or other third-party service providers