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Risk Alert: Common Reg S-P Deficiencies By Elizabeth Cope, SEC Compliance Solutions
Once again, the SEC has provided insight into exam deficiencies. This time, it’s regarding Reg S-P.
08.07.19
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Risk Alert: Use of Third Parties For Network Storage
As a reminder, a “Risk Alert” is the Securities and Exchange Commission’s way of giving you a heads
07.03.19
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Simons Says
Peter Driscoll, the Director of OCIE, spoke to attendees at an NRS Conference on April 29
06.05.19
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Guest Column: Compliant Advertising: Breaking It Down
Part 2: Testimonials Review of Part 1 — The Foundation In the first article of this series, we
06.05.19
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Guest Column: Investment Advisory: Growth Strategies For Your Firm
Great performance tends to attract new investors, but performance alone is not enough to win or
06.05.19
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Simons Says
On April 16, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk
05.01.19
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Compliant Advertising: Breaking It Down
The topic of advertising is one of the most challenging areas for CCOs. The challenge begins with
05.01.19
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Simons Says
The Securities and Exchange Commission is proposing rules that would modify the registration,
04.03.19
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5 Tips To Simplify A CCO’s Heavy Workload
In all my experience, working with CCOs as a compliance consultant, the one common sentiment they
04.03.19
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Simons Says
The OCIE’s National Examination Program Risk Alert “Observations from Investment Adviser
03.06.19