September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]
COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEW
Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant
Why is January 1 different from all other days of the year? After all, nothing fundamentally really changes. Nevertheless, most of us see January 1 as a new beginning in which we resolve to renew ourselves and discard undesirable traits. As you return to work from the long holiday weekend what will you resolve for 2017?
As an adviser, the annual compliance review requirement imposed by Rule 206(4)7, or the “compliance rule”, should be a fundamental part of your New Year’s resolution. The goal of 206(4)7 is to ensure your policies and procedures are adequate for your business model, therefore, you should assess each policy ever year to identify what is working and what is not working.
In this bulletin, Lilian Colpas discusses the importance of the annual compliance review and the SEC’s recommended topics that advisers should be addressing as part of their compliance program.
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ABOUT LILIAN COLPAS
Lilian Colpas is an accomplished compliance professional with over 12 years of global compliance experience, most recently as compliance officer for Harding Loevner in Bridgewater, NJ. Previously, Lilian held roles as a compliance officer for Davidson Kempner Capital Management and AIG Global Investments (now PineBridge Investments). Lilian also worked as a paralegal for Sidley Austin Brown and Wood and AIG.