The chief compliance officer (CCO) of every registered investment adviser (RIA) needs to be focused on developing the proper culture of compliance. What does this mean? Download our free checklist to see how a culture of compliance can be created and fostered at RIA firms of all sizes.
The free checklist provides general guidance on multiple topics including:
- Conducting an annual risk assessment.
- Developing and implementing a supervisory policies and procedures manual.
- Hosting an effective annual compliance meeting.
- Creating a detailed compliance calendar.
- Performing effective employee compliance training.