Page 83 - UUBO Deal Academy 2020 - Materials
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COMPONENTS OF AN EFFECTIVE E&C PROGRAM







                                 ▪       Monitoring and Auditing




                                 ▪       Compliance Officer and Compliance Committee





                                 ▪       Education




                                 ▪       Monitoring and Auditing





                                 ▪       Reporting and Investigating





                                 ▪       Enforcement and Discipline




                                 ▪       Response and Prevention





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