Breakout 2A – Your Firm and its Policies & Procedures Manual

Attendees will learn why a compliance manual is necessary and how best to tailor and apply a compliance manual to a firm’s business and its culture.   Attendees are encouraged to bring a copy of their firm’s compliance manual table of contents for reference.

Learning Objectives:

  • Discuss documentation – the who, what, when and how
  • Understand how to tailor the manual to achieve alignment with your firm’s business practices
  • Learn how to adjust the manual to external factors such as business risks, regulatory changes, and financial markets
  • Learn ways of effectively communicating updates to the manual