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Practical Tips for Developing Written Policies and Procedures
Practical Tips for Developing Written Policies and Procedures
 

June 5, 2014

Division
Investment Adviser

Speaker: Josh Broaded, Managing Director, ACA Compliance Group
Speaker: Bill Hedden, Chief Operating Officer, Summit Rock Advisors


Webcast Discussion Includes:

  • Regulatory requirements and explanations relating to written policies and procedures
  • Process of developing and maintaining customized procedures to address specific risks
  • Delegating responsibility within a Compliance Manual
  • Ongoing monitoring and testing
  • Promoting a culture of compliance