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Office of the New York State Comptroller

Compliance

The Compliance Program evaluates the investment staff's adherence to internal and external regulations, rules, policies and procedures. The program provides the Deputy Comptroller for Pension Investment and Cash Management with regular reports on this information, help to ensure that the assets under the control of the Comptroller are properly safeguarded against loss due to fraud, waste, abuse or error.  It also helps to ensure that the operations and systems of the Division of Pension Investment and Cash Management are conducted in accordance with the policies and plans of management and in conformity to applicable laws.  The key components of the Compliance Program include written compliance policies and procedures, reviews of internal control systems, compliance review programs and procedural checklists.