In this ComplianceCasts Minute we focus on SEC guidelines for conducting annual reviews. With SEC regulation changing and expanding, knowing what to include in your annual review can be confusing at best. Ascendant’s Korrine Kohm discusses what areas to focus on to help ease the burden of an ever-growing mountain of regulation.
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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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