Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Compliance Bulletin 03-14

Compliance Bulletin 03-14

Kristy Wright
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June 2, 2014


With the recent SEC enforcement actions taking place, greater emphasis is being put on compliance rules. Valerie Pierrat examines the regulatory landscape and identifies three compliance mandates for advisers to recognize within four recent SEC enforcement actions including: best execution practices and disclosures, valuation of securities, and oversight of sub-advisers.


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