Regulatory Compliance Association Reviews

Resolving Compliance Concerns

Resolving Compliance Concerns – Implementing the CFA Institute Asset Manager Code

To assist asset managers successfully hurdle this emerging obstacle, and win allocations – RCA and CFA Institute created a 2 step, quantitative process, which independently allows regulators and investors to validate a manager’s compliance program:

1. Implementing CFA Institute Asset Manager Code, with the Asset Manager Code Implementation Platform, and

2. Compliance officers adopting the RCA’s Compliance Officer Code of Professional Conduct™.