Fri, Feb 7, 2020

Peter Wilson Talks About How CCOs Can Improve Their Compliance Programs in Private Equity Law Report

Peter Wilson, Managing Director in Duff & Phelps’ Compliance and Regulatory Consulting practice, was featured in Private Equity Law Report, discussing how chief compliance officer’s (CCOs) can improve their compliance programs. 

In the article, “How CCOs Can Use a Sample OCIE Information Request Letter to Improve Their Compliance Programs,” Peter provides his perspective on the evolution of information request letters, how the letters are prepared and how CCOs can use sample letters to improve their compliance programs. He states, “My recommendation to CCOs would be to analyze sample request letters to assess the state of their own compliance and operational programs.”

Peter explains how Duff & Phelps can assist, “Because we work with hundreds of advisers and are involved in numerous exams at any given time, we can offer a broader perspective and insight that proves to be very helpful to our clients. We are able to, on a real-time basis, share information from these exams with our other clients to ensure that we are encouraging best practices and the adoption of any new compliance or operational controls.”

Subscribers can read the full article on Private Equity Law Report