CCO Resource Hub: Policies & Procedures

Chief Compliance Officer Committee

Members’ Compliance Policies and Procedures

Members are charged from time-to-time with either developing compliance policies and procedures in a new area or revising existing policies and procedures in response to regulatory announcements or expectations.  When this occurs, they often ask the ICI to collect and post members’ new or revised policies and procedures so they can be used by other members as a resource – either as a drafting guide or for comparison purposes.  The policies and procedures that the Institute has collected are available through the links below. As additional members share their policies and procedures with us, we update these compilations.  Here are the topics covered by the policies and procedures members have asked us to collect and that we have compiled to date:

The documentation provided by ICI that may be accessed by committee and task force members is restricted to members use only and not for distribution or reproduction. Documentation may be used internally at member organizations as needed to facilitate committee and task force initiatives.