The components of an Effective Compliance Program

1. What are the components of an Effective
   Compliance Program?
2. Review “UBO Compliance Program” and critique the
   effectiveness of the program based on the components of an effective compliance
   program. The answer to both questions should be based on EHC, Safian and class
   lectures. Inclusion of information other than the two noted sources must be
   supported by proper reference/s.

Expectations:

1. Report should be a word document,
   typewritten, 12 fonts, double spaced, and no more than 5 pages in total.
2. Report outline:

a.
Describe the components of an effective
compliance program (2-3 pages)