How CCOs Can Implement a Proactive Compliance Program

Recent SEC commentary has suggested that compliance programs not only need to address an adviser’s business and risks today, but also be more anticipatory and knowledgeable about emerging risks and conflicts. These risks arise from new rule adoption, evolving technologies, new risks, SEC sweeps, and new business initiatives. In short, compliance programs need to be proactive, not reactive. Our panel will discuss how to position your compliance program to be more proactive and resilient.

Explore with us:

• Methods to incorporate proactive approaches

• Forward thinking techniques for exam priorities and ongoing sweeps

• Steps to take for the current sweep on whistleblower contract provisions

• Rethinking a Mock Exam when built with innovative proactive strategies

• Exploring fresh perspectives in preparing for a successful SEC exam

• Bringing a new approach to training

• Evaluate Enforcement Director Gurbir Grewal’s “three principles of proactive compliance” – education, engagement and execution.