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GENERAL COMPLIANCE PRACTICES
ENGAGEMENT SUMMARY

Client
An Investment Management Company

Engagement
The client needed to update the staff on general compliance practices. Our mission was to design a training program based on the client’s Compliance Manual. During the review and design phase we identified an opportunity to introduce best practices as part of our mission. Working with the Compliance, Legal and General Administrative staff we developed a curriculum that would educate them on existing compliance guidelines, evolving trends and best practices.

Deliverable
We developed courseware that introduced critical topics, reviewed the purpose or intent of various procedures and, wherever possible, introduced best practices.

We prepared a Leader‘s Guide, participant material and a PowerPoint presentation. We also conducted practice sessions with the staff that would be responsible for presenting the training

Result
The training was well received by staff and management. The program has been in use for five years; the client has made changes to maintain accuracy and has submitted some of them to us for review and recommendation.


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