As you wrap up your gifts and your year of compliance tasks, take a moment to reflect on all that happened this year in the compliance world with this special year-end holiday version of our ComplianceCasts™ Minute.
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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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