An effective compliance program demands written procedures which demands risk assessment. The objective is to avoid harm to investors—and to your firm. Here, Jackie Hallihan, Partner and Eugenie Warner, Consultant at Ascendant discuss risk assessment – behavioral observation and management for firms of all types and sizes.
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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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