The "Cultural" Fix for Funds


Q: How do you make that happen?

A: There's a distinction between having a big-shot called chief compliance officer and creating a very clear and open route for the compliance people to go directly to directors. They should be comfortable just picking up the phone and talking to directors and sending them e-mail. There has to be a separate meeting schedule where directors meet only with compliance personnel, and they don't discuss anything else.

And so you have a culture w


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