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Compliance Bulletin 01-14

Compliance Bulletin 01-14

A 2014 WAKE UP CALL FOR INVESTMENT ADVISERS

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.

The Compliance Bulletin Service

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?

Fill out the form below to download your complimentary copy.

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.

Thank you again for your interest in Compliance Risk Concepts.  Our ultimate goal is to evidence our overall credibility as a “go to” resource – and create long term value for our clients.

P.S. -   If you aren’t yet familiar with our Financial Services support model, please click on the following link: https://compliance-risk.com/service-model-verticals/

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