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Compliance Bulletin 01-14

Compliance Bulletin 01-14

Mitch Avnet
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January 20, 2014


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 investment-adviser-bulletinSEC’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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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. Want a peek at the monthly bulletin exclusively offered with this service?

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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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