Thursday, November 15, 2007

Compliance - Articles, White papers

Board Oversight of Certain Service providers
http://www.seic.com/ims/documents/IDC_White_Paper.pdf

Compliance imperatives 2006 SEIC Download
http://www.seic.com/ims/documents/KP%20White%20Paper_ComplianceImperatives_final.pdf


Board's Role to Improve Compliance
http://www.seic.com/ims/documents/KP%20White%20Paper_Fund%20Boards.pdf

Regulatory Developments 2005
http://www.seic.com/ims/documents/SEI%20Regulatory%20Matrix_Jan2005.pdf

Top compliance Issues
http://www.seic.com/ims/documents/KP_WhitePaper_TopComplianceIssues.pdf

Compliance Officer Checklists
http://www.seic.com/ims/documents/CCO%20Progress%20Checklists.pdf

Creating Culture of Compliance
http://www.seic.com/ims/documents/KP_WhitePaper_Culture%20of%20Compliance.pdf

New Regulatory Challenges 2004
http://www.seic.com/ims/documents/KP_WhitePaper_081204.pdf

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