In the Margins

SEC IDs compliance pitfalls

February 8, 2017

By InvestmentNews

The Securities and Exchange Commission on Tuesday announced areas in compliance that most often are troublesome. “Advisers took remedial measures, such as enhancing written compliance procedures, policies or processes; changing business practices; or devoting more resources to the area of compliance,” the Office of Compliance Inspections and Examinations said in a risk alert. “Where appropriate, the staff referred examinations to the Division of Enforcement for further action.” Read the original story from InvestmentNews.



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