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…