Recent SEC enforcement actions have increased focus on how well advisers and boards of registered and unregistered investment companies provide compliance oversight. Download the Investment Adviser Bulletin and stay up to date with the regulatory landscape. This month Valerie Lewis examines four examples that touch on best execution practices and disclosures, valuation of securities, and oversight of sub-advisers. Continue reading
SAVE THE DATE : June 5th, 2014 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation. Continue reading
Public companies should determine the best way to embrace and utilize social media –The Social Media Governance for Public Companies Bulletin provides recommendations for guidance and ongoing training in regard to your company’s Next Generation Social Media Policy. Continue reading
The monthly Compliance Bulletin Service provides the information your organization needs- at the speed it can handle it. Let the trusted Compliance professionals at CRC do the hunting, gathering and data-mining for you. Take a peak by downloading a complimentary Compliance Bulletin. Continue reading
It’s Time For Your 15 Minutes… As a CRC insider, for a limited time we are offering a 15 minute call to discuss a complimentary review of one of the following… Continue reading
I invite you to download our FREE Compliance in Financial Services white paper: HAVE YOUR CAKE AND EAT IT TOO: Improve Efficiency and Turbocharge Your Threat Discovery.