Customize Those Manuals

posted in: Compliance | 0

At the SEC seminar last week, Rosalind Tyson, director of the SEC’s Los Angeles office, said that firms should design compliance programs tailored to their core business activities and then follow through on them.

“For heaven’s sake, don’t adopt policies that you’re not going to implement,” she said. “Make sure you know who should do what and that they’re doing it.”