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Sample document retention (for a healthcare company)

Resource Details
Interest Area: Compliance and Ethics
Source: Resource Library
Region: United States
Mark Henriques and James Ding

Compared to traditional, on-site computing, cloud services offer greater collaboration, better insight over data, more integrated and efficient development, and more productivity tools, from office suites to storage—all at a fraction of the cost.

Resource Details
Interest Area: Compliance and Ethics
Source: Resource Library
Region: United States
Barbara Barrett, Keith Henderson, Mark Henriques

This program will review how to manage a defensible records retention and data management program, considerations related to disposition of items that are not required to be kept by law or policy in the normal course of business and how to effectively manage legal holds when they come into play.

Resource Details
Source: Meetings
Region: United States

This list provides an inventory of RIA Conflicts of Interest .

Resource Details
Interest Area: Compliance and Ethics
Source: Resource Library
Region: United States
Arthur Don, Aron Friedman, Courtney Lewis, Philip Wellman

Banks, brokers and insurance companies are often affiliated, but doing business with affiliates creates some inherent conflicts. Panelists will address how to identify, disclose, mitigate and otherwise manage these types of conflicts as well as address the rules of professional responsibility and ethical considerations.

Resource Details
Interest Area: Compliance and Ethics
Source: Meetings
Region: United States

This is a sample communications plan.

Resource Details
Interest Area: Compliance and Ethics
Source: Resource Library
Region: United States
Scott Forsyth, Gemma Heckendorf, Kasey Ingram, Marisa Sifontes, Tracy Stanton

This is a sample informal monitoring plan.

Resource Details
Interest Area: Compliance and Ethics
Source: Meetings
Region: United States
Scott Forsyth, Gemma Heckendorf, Kasey Ingram, Marisa Sifontes, Tracy Stanton

Sample marketing slides for building a compliance program.

Resource Details
Interest Area: Compliance and Ethics
Source: Meetings
Region: United States

Compliance - sample roles & responsibilities alignment.

Resource Details
Interest Area: Compliance and Ethics
Source: Resource Library
Region: United States

This is a list of resources for crisis management planning and response.

Resource Details
Source: Resource Library
Region: United States
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