How to Make Sure Your Compliance Program is Ready

Dec
2
2008

How to Make Sure Your Compliance Program is Ready

By SEI Knowledge Partnership with Tim Levin, Partner, Morgan, Lewis & Bockius LLP

White Paper: What's Next from the SEC? How to Make Sure Your Compliance Program is Ready (PDF, 8 pages, 317 KB)

Presentation: Compliance and Regulatory Mid-Year Update (PDF, 26 pages, 1.3 MB)

The year 2006 brought relatively few new regulatory changes, giving registered investment advisers a chance to concentrate on refining and testing their compliance programs. However, the SEC has taken on a number of new issues, again raising the possibility of more intense regulatory scrutiny. If you read between the lines, the trend suggests that compliance programs may need additional bolstering before their next annual review.

  • What do the SEC's latest public positions signal for advisors, funds and their compliance staff?
  • How are SEC examinations evolving?
  • What steps should CCOs and their staff be taking to bolster their compliance programs and improve their anual reviews for the upcoming year?

At a recent SEI Web seminar, regulatory experts outlined the steps registered funds and advisers should be taking now.