Regulatory Compliance Association Reviews

Compliance Transparency Platform™

Compliance Transparency Platform – Implementing the CFA Institute Asset Manager Code

The Compliance Program Transparency Platform delivers the following suite of tools for firms to easily, efficiently and cost-effectively implement the CFA Institute Asset Manager Code:

  • A stellar Faculty of renown, senior GC’s and CCOs from the largest alternative investment and asset management firms;
  • Over 40 easy to understand, practical tutorials;
  • Over 12 hours of instruction, which qualify for CLE, CPE and CCE® (Continuing Compliance Education)®
  • Tutorials mapping the principles of the CFA Institute Asset Manager Code to the impacted compliance policies and procedures
  • Each tutorial provides 7 to 15 exemplar compliance policies and procedures from RCA’s 350-page Model Compliance Manual™ to assist in aligning your compliance program
  • Reduces regulatory examination risks
  • Documents and maintains required record-keeping of firm’s risk assessment, risk inventory, mapping and gap analysis of compliance program

As the Compliance Transparency Platform tuition is subsidized by the CFA Institute and RCA, the cost is only $100 per annum.