Top 7 Compliance Issues: White Paper

09 December 2004 by SEI Knowledge Partnership with Thomas Lemke, Partner, Morgan, Lewis & Bockius LLP

 

White Paper: Looking Ahead: The Top 7 Compliance Issues to Address (PDF, 8 pages, 249 KB)

When the SEC mandated the adoption of a compliance program, the SEI Knowledge Partnership addressed the challenge with a series of Web seminars.

In this white paper, a summary of one of these presentations, we offered guidance on priority issues such as:

  • Implementation of a monitoring and testing program
  • Annual updating and approval process