Learn how to calculate your firm’s Regulatory Assets Under Management under the SEC’s new guidance; what housekeeping items CCOs should perform this time of year; and a recap of the SEC’s recent social media alert.
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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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