To minimize the burden imposed on chief compliance officers (CCOs) to review their compliance policies and procedures by the SEC’s October 5 deadline, JPMorgan has provided all custody and full service clients with its compliance policies and procedures.
Other services offered by JPMorgan to enable client CCOs to carry out their monitoring responsibilities in include:
- JPMorgan’s Horizon Operational Risk Management system
- investment compliance services and tools
- Plexus trade execution and analysis software
- the i-Vault! image archive system.
JPMorgan is also hosting client forums in September to further help clients comply with the regulations. More information is at www.jpmorgan.com/investorservices .