Office of the General Counsel

INSTITUTIONAL COMPLIANCE PROGRAM

Institutional Compliance Committee

The Institutional Compliance Program provides that the responsibilities of the Institutional Compliance Committee include without limitation the following:

1. Providing general oversight and reviewing at least annually the compliance roles, responsibilities and activities of the compliance program.
2. Assisting the Institutional Compliance Officer in determining compliance priorities.
3. Advising and making recommendations, as appropriate, to the Audit Committee with regard to the compliance program.
4. Providing periodic reports of its activities to the Audit Committee.
5. Taking appropriate actions to ensure compliance awareness and that compliance deficiencies are reasonably addressed consistent with the compliance program.

View the membership of the  Institutional Compliance Committee (login required)