Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Author: Kristy Wright

Spotlight On Talent: Kevin Wheeler On NY's Virtual Currency Regulation

The State of New York recently passed legislation requiring those transacting in virtual currency to […]

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Compliance Bulletin 03-14

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.

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