Miss the SEC’s National Outreach program Seminar held in Washington, DC? No worries! Ascendant brings you up to speed on the topics discussed with this thorough recap ComplianceCast Minute. Hear what the SEC is focused on in 2014 and where the SEC thinks CCO’s should dedicate their resources. Find out what specific area the SEC has zero tolerance for deficiencies in, plus learn what will be their focus with respect to Hedge Fund advisers.
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