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.
Fill out the form below to download your complimentary Investment Adviser Compliance Bulletin.
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.
Thank you again for your interest in Compliance Risk Concepts. We strive to continually evidence our overall credibility as a “go to” resource – and create long term value for our clients.