Compliance Conference season is well underway. Next week, MyComplianceOffice will journey to “the heart of Europe” to exhibit and attend the SCCE’s 5th Annual European Compliance & Ethics in Prague, April 2-5. Back by popular demand is our list of top things to do and best “selfie” destinations to make the most out of your trip!
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.
