We continue to take a closer look at the SEC’s shift to risk-based examinations, and consider several factors influencing examination prioritization as well as the external resources that examiners will be leveraging to gain further information about your firm.
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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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