Preparation is the key to a successful SEC examination. Is your firm prepared? Do you know some of the curveball questions the examiners may use during the initial examination interview, or ways you can try to reduce the document production burden? Are you ready for questions about your technology and operations? Ascendant consultants Eugenie Warner and Linda Noyes discuss these and more during this second installment of our two part recap of Ascendant’s 2013 Spring Compliance Conference.
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- New Form ADV: What you need to know to file your Annual Updating Amendment
- Due Diligence of Sub-Advisers and Other Third-Parties
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
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