An effective Compliance Culture requires that a firm and its employees understand their compliance responsibilities and act accordingly. Compliance is an essential risk mitigating activity required by investment managers. Risks presented by breaches of the code of conduct, investment restrictions and regulatory requirements will significantly impact the firm's profitability and its reputation.
Over the past decades crime has increased at a staggering pace on a global basis. Today's criminals are sophisticated and highly [...]
Certain industry participants seek to adhere to best operating practices but do not have the resources to engage someone [...]
Phocion provides services to our clients that enhance their compliance programs. Areas of focus are: A review and assessment [...]
Phocion can educate and train your team on how to implement a compliance program that meets with industry best practices while [...]