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Master Class: Effectively updating and maintaining your compliance program
May 3, 2012,
Now that the registration deadline is a thing of the past, many in the private funds compliance community are wondering what’s next. With greater requirements, comes greater responsibility. The maintenance and updating of compliance policies and procedures are vital to the success of every compliance program.
Designed especially for newly registered firms and new members of established compliance teams, this m
aster class will provide you with a detailed guide showing you how to create and implement a successful and efficient compliance program from start to finish.
Topics to be covered will include:
Nuts & bolts of putting together a compliance program
• Creating and updating a compliance manual to meet the needs of the regulators, and also your firm
• Training your staff to ensure consistent application of compliance policies and procedures
• Preparing for your annual review
• Formalizing the code of ethics
• Developing a uniform recordkeeping process throughout your firm
• Utilizing technology to ensure compliance
• Working with your LPs to attain proper documentation
• Maintaining the integrity of your reporting process
• Establishing an internal culture of compliance
• Getting buy-in from senior management
• Effectively managing and delegating your resources
• Compliance best practices
• Establishing risk management tools to ensure greater compliance
Space is limited. Register now!
To register your place at the master class,
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+1 212 645 1919 ext 115
To find out more about the
Private Fund Compliance Forum 2012: New York
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