Compliance Monitoring

Based on compliance risk assessments, the Chief Compliance Officer directs periodic reviews of identified high-risk compliance areas by the Office of Institutional Compliance. The purpose of these reviews is to ensure adherence to general compliance policies and applicable federal and state laws and regulations. Reviews may include on-site visits, interviews with personnel involved in administration, operations, billing, reporting, and other related activities; review of documentation and other written materials; and trend analysis studies.