See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

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 employeesí understanding of and compliance with the firmís policies. Compliance programs should be reviewed and updated regularly.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight and receive a time-limited $200 discount! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.