Compliance Bulletin 01-14
Now more than ever, Investment Advisers must ensure they have regular and rigorous compliance programs in place to keep pace with industry requirements and expectations. The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call” to Investment Advisers.
As a former Chief Compliance Officer for a Fortune 200 Company, I understand these challenges and have created this bulletin as a “road map” / “checklist” for Investment Advisers to review and reconcile their respective controls, policies and procedures and discrete risk management activities.
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Additionally, as part of our service, we provide guidance and recommendations that organizations should weigh / consider as it relates to new rules or modified / amended rules impacting Institutional and Retail broker-dealers and registered investment advisers, wealth / asset managers, hedge funds, private equity, Municipal Advisors, M&A, etc.
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