Building a Gold Standard Compliance Program, Session 3: Implementation - Part 1

Join us on Wednesday, September 13 at 11:00 AM ET as we discuss testing methodologies and parameters, provide suggestions on how to document the results of testing and monitoring, outline the crucial process for follow-up when errors or issues are found, and the process for defining how findings will be remediated.

Discussion topics

This webcast will focus on:

• Testing methodologies, including transactional and forensic testing
• Defining testing parameters such as purpose, scope, objective, and selecting an appropriate sample
• Documenting results of testing and monitoring
• Remediation of errors and issues

Who should attend

This webcast is for CCOs, COOs, and GC's looking to launch or enhance their compliance program with tried and tested best practices and foundational concepts. Firms of all sizes, from start-ups to those with an AUM over $1B, are welcome to attend.

Speakers

• Jaqueline Hummel, Director of Thought Leadership, ACA Group
• Allison Charley, Director, Managed Services, ACA Group

All webcasts are recorded and will be sent to registrants following the broadcast.