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.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
Recent ComplianceCast™ Minutes