The SEC recently held an outreach panel to discuss the various hot topics in compliance surrounding IA’s. Some of the topics discussed: CCO Liability, Cybersecurity, AML, tips and tricks to prepare for regulatory examinations and more. Here to elaborate on these issues and priorities is Gena Dirani, Consultant with Ascendant Compliance.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
Recent ComplianceCast™ Minutes