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SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2018

Photo by Mark Duffel on Unsplash The SEC’s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers.  In reviewing the SEC’s activity over the past 12 months, I…

Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Examinations and Audits | Records Management | Testing

SEC Exam Impact: Helping Firm Management to Understand the “Value Add” of a Well-Run Compliance Program

By: Jaqueline M. Hummel, IACCP®, AIFA® Managing Director, Hardin Compliance Consulting May 12, 2014 The SEC recently announced an initiative to examine registered investment advisers who have never been subjected…