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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- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
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