Tag Archive: Compliance

Come to Orlando, home of the most magical place on earth, for compliance education and peer interaction. Join NRS at our Spring 2019 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs. attendee comments I depend […]

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) often issues risk alerts to provide information on common deficiencies that their staff has cited in recent examinations of advisers.