Robust policies and procedures are a critical part of any compliance program. However, even the best policies and procedures are only effective to the extent that they are followed. Accordingly, it is important for advisers to implement testing to ensure that their compliance program is working as designed.
Please join ACA Compliance Group's Michael Abbriano and Paul Mucho on Thursday, October 10, 2019 at 11:00am ET for as they discuss best practices in forensic testing, including electronic communications reviews and trade surveillance.
This webcast will cover:
- Electronic communications reviews;
- Testing related to conflicts of interest; and
- Trade surveillance.
All webcasts are recorded and sent to registrants following the broadcast