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The Office of Institutional Compliance

Compliance Committees

The Executive Compliance Committee (ECC) is responsible for providing advice and guidance to the President and the Chief Compliance Officer on the design and operation of the Institutional Compliance Program. The ECC is convened by the President and is composed of the following executive leadership positions:


The ECC is responsible for the following:


The ECC has established an Institutional Compliance Committee (ICC) which meets quarterly in a joint meeting with the ECC. The ICC is composed of:

The ICC reviews quarterly summaries of all ECC activities and communicate institutional compliance information to each members respective area.