Our annual year-end review covers investment adviser compliance highlights from 2018, and makes 2019 predictions. We will highlight enforcement actions and SEC risk alerts for retail advisers, private fund managers, and institutional wealth managers. Using these as road markers, our predictions are designed to lead reasonable and effective compliance program development.
- Evaluate 2018 Compliance and Regulatory Reporting
- Adapt to SEC Strategic Initiatives
- Allocate Resources Based on SEC Focus and Risk Alerts
- Make Adjustments According to the Changing Landscape
- Prepare the Future: New 2019 Predictions
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