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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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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