3f. ALL LAB – Positioning a Compliance Program in Small to Mid-size Firms (Intermediate)

This lab will provide practical guidance to compliance personnel seeking to elevate the stature, credibility and importance of the Compliance Department within an organization.  Lab facilitators will share ideas on how to position compliance functions as an integral part of the business structure and positively reinforce their significance with senior management, employees, and prospective investors/clients. Participants will learn how to effectively communicate the role and importance of a robust compliance program to various constituencies and obtain sufficient resources for compliance.   This session is closed to both regulators and members of the press.

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