Creating a Culture of Compliance: White Paper

August 11, 2004 by SEI Knowledge Partnership with Thomas Lemke, Partner, Morgan, Lewis & Bockius LLP

 

White Paper: Creating a Culture of Compliance (PDF, 5 pages)

Mutual funds and investment advisors everywhere are grappling with new SEC requirements to develop, and begin implementing, an overall compliance program.

Legal and compliance experts agree that the new rules are a lot to get your arms around— especially the call for firms to create a “culture of compliance.”

  • What does that mean?
  • How can it best be accomplished?

An SEI Web seminar held as part of SEI’s ComplianceAdvantage program offered informed advice from SEI management and legal counsel, summarized in the white paper entitled, "Creating a Culture of Compliance."