This past July the SEC published a Compliance Alert summarizing issues found during recent examinations. The following ten discussion items address the top areas addressed by SEC staff in speeches and not surprisingly, the top areas reviewed during SEC examinations.
Article: How bright are expert networks blinking on the SEC's radar screen? This June SEC3 Compliance Consultants published an article for Thompson Reuters Accelus on the...
CNN: Hedge fund regulation? What hedge fund regulation? Janaya Moscony, President & CEO of SEC3, is quoted in the Fortune / CNNMoney article ent...
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