The Chief Compliance Officer position comes with many responsibilities and possible liabilities. Hear our consultants’ thoughts on how to determine whether you may be deemed a supervisor over aspects of your firm’s compliance program.
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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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