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News January 30, 2017 Issue

Keep Your Compliance Program Alive and Breathing

Many firms roll out formal changes to their Compliance Manual and Code of Ethics at the beginning of the year, often followed by employee compliance training. Firms may also distribute and collect questionnaires related to potential conflicts of interest, as well as an attestation of employees’ understanding of and compliance with the firm’s policies. Compliance programs should be reviewed and updated regularly.

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