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COMPANY POLICIES & PROCEDURES
ENGAGEMENT SUMMARY

Client
A start-up SEC-registered Hedge Fund

Engagement
Our client recognized the need for training on company procedures, policies and compliance.

The engagement was to evaluate their company policies and compliance manual and to recommend an approach on the types of training required and delivery medium.

We proposed a multi-phased approach using their current policies and compliance manual, supplemented by custom content addressing specific activities and behaviors. We also included a mix of learning approaches including brief meetings, guided study and testing to ensure that staff understood the company guidelines.

Deliverable
Using the client policy and compliance manuals as our source material, we extracted pertinent content as the base training material. Supplemental materials, such as asset valuation routines, were developed or secured from industry sources.

Training was scheduled beginning with a kick-off conducted by the Senior Partner. Our client was responsible for execution of the training plan and administration of the tests.

Result
The program was well received by senior management and staff. The objectives were achieved successfully. We served as an external consultant to fine-tune and recommend work-around alternatives as needed.

The client continues to utilize the original program with adjustments as needed based upon their business model and industry regulations.

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