5 Steps to SEC Investment Adviser Compliance Program.


Building an effective SEC compliance program involves a great deal of effort and expense. If you are going to invest this effort and expense, then at a minimum, you should make sure that the program meets the requirements that the Securities and Exchange Commission have laid out. I have detailed below the five main steps that you need to have in place if you are going to build an effective compliance program. This is not an exhaustive list but it does cover the main areas that you should consider.

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