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Topic: Errors

Don’t Err When Handling Errors: Documentation and Internal Reporting are Key

February 21, 2014
Despite your best efforts, some errors will always get through. How a firm handles them is critical.

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Coding Error Settlement: Compliance Requires More Than a Narrow Reading of Policies

January 31, 2014
Donít interpret your compliance polices so narrowly that you fail to do whatís right. You may just end up fooling yourself Ė and leaving your firm liable to SEC action.

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More Highlights From the ACA Compliance Group Spring Conference

March 28, 2008

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