Our consultants provide a quick recap of Ascendant’s Fall 2013 compliance conference. Hear how staffing changes at the SEC may impact the assessment of your firm’s risks, and the areas in which examiners are finding deficiencies at firms.
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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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