Common ‘Cents’ Compliance

Common ‘Cents’ Compliance

Common ‘Cents’ Compliance: How Managing an Effective Program Can Save You Millions

  • Current SEC Priorities for Investment Advisers.
  • The Current Climate at the SEC: Collaboration Between the Exam and Enforcement Staff.
  • The SEC’s Expansive View of Fiduciary Duty, Conflicts of Interest and Recidivism.
  • Strategies for Successfully Handling an SEC Exam.
  • How to Avoid Becoming an Attractive Target for SEC Enforcement.
  • Pros and Cons of Self-Reporting to the SEC.
  • Strategies in SEC Enforcement Investigations.

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