Ascendant Compliance consultants Eugenie Warner and Jackie Hallihan give us insight on recent speeches from SEC Chair Mary Jo White. Topics covered include; new initiatives for improved methods of regulating the asset management industry, recent updates on new SEC mandates, tips on risk transition plans, and more.
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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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