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Discussing the Results of the 2015 Investment Management Compliance Testing Survey
Discussing the Results of the 2015 Investment Management Compliance Testing Survey
 

June 9, 2015


*Please Note: The C3 Coupon code does not apply to this event*

Division
Investment Adviser

Speaker: Lynne M. Carreiro, Managing Director, ACA Compliance Group
Speaker: Sanjay Lamba, Assistant General Counsel, Investment Adviser Association


Webcast Discussion Includes Survey Results For:

  • Business Continuity Planning
  • Alternative Investment Products
  • Oversight of Third Parties
  • E-Mail Review and Testing
  • Trading Issues and Errors
  • Personal Trading/Code of Ethics
  • Enterprise Risk Management
  • Cybersecurity
  • Social Media