November 5, 2019 Roadmap to Conducting Annual Compliance Reviews The “annual” in annual review is a misnomer! That was one of the key takeaways from a session conducted at…
August 20, 2019 Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards Sometimes it seems that enough is never really enough. While compliance officers have grown intimately familiar with SEC Rule 206(4)-7…