Compliance Operations and Governance Considerations

Jason Scharfman ()
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Jason Scharfman: Corgentum Consulting, LLC

Chapter 4 in Alternative Investment Operations, 2020, pp 61-73 from Springer

Abstract: Abstract This chapter provides an overview of the compliance operations of alternative investment managers. The concept of mandatory compliance obligations and voluntary compliance obligations will be discussed. As part of this discussion, we outline the sources of mandatory and voluntary compliance obligations. We then outline the distinction between investment and operational compliance obligations. Next chief compliance officer (CCO) models and the duties of CCOs will be discussed. Other topics covered in this chapter include the role of governance in compliance management, compliance documentation including the compliance manual and code of ethics, and common compliance policies.

Keywords: Compliance; Regulation; Chief compliance officer (CCO); Compliance manual; Code of ethics; Governance; Form ADV (search for similar items in EconPapers)
Date: 2020
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Persistent link: https://EconPapers.repec.org/RePEc:spr:sprchp:978-3-030-46629-9_4

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DOI: 10.1007/978-3-030-46629-9_4

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