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Compliance Considerations for SEC registered firms

The main compliance issues facing firms during COVID-19 includes the supervision of employees and business continuity amid uncertainty. The SEC Office of Compliance Inspections and Examinations (OCIE) released a risk alert on August 12 to share some observations with registered firms, investors, and the public generally.

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SEC Exams: The Do's & Dont's

From MCO's August Webinar with NorthPoint Compliance

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Supervision – Stormy seas on the horizon?

Dodd Frank, Volcker, MiFID, Sponsor rules, Market Abuse Directives….and the list goes on.  All very complicated and no doubt taking up a lot of your time.  But the one storm on the horizon that really should be keeping you up at night?  Yep, it`s that regulatory staple, Supervision. 

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Six Best SEC Examination Tips

From MCO's January Webinar with Patrick J. Burns, Jr of ARC

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