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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