The SEC's 5 most Common Compliance Deficiencies

Posted by Bethany Sirven on Feb 16, 2017 10:54:12 AM

To assist and prepare SEC registered investment advisers for exams, The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert listing five of the most frequently identified compliance topics in deficiency letters following an examination.

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Topics: SEC, OCIE, SEC Exam, form adv

7 Reasons to Fall in Love with Compliance

Posted by Shane McGonigle on Feb 14, 2017 6:07:06 AM
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A-Z List of Financial Regulators

Posted by Joe Boyhan on Feb 9, 2017 10:44:19 AM


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Topics: KnowYourThirdParty, KYTP, vendor risk, Regulation, Third party risk

5 Ways to Improve Hedge Fund Compliance

Posted by Joe Boyhan on Jan 26, 2017 9:48:27 AM


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Topics: SEC, hedge fund compliance, Hedge Funds, KnowYourEmployee

FCPA Fines in 2016 - Summary

Posted by Joe Boyhan on Jan 25, 2017 10:52:38 AM


We delved into the official enforcement actions of the FCPA (Foreign Corrupt Practices Act) from the SEC for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.

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Topics: FINRA Compliance, FINRA, FINRA Fines, Regulation, FINRA Regulation

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