Chief Compliance Officers face the challenge of running a comprehensive yet efficient compliance program that nimbly adapts to changing regulatory requirements and business practices. As compliance consultants, we see our fair share of missteps. So we created a three-part series to discuss common compliance program mistakes investment advisers make and
Top compliance program mistakes (and how to avoid them)
Part 1, in a series of 3, on common compliance mistakes investment advisers make. First – how to build an engaging compliance manual.