CCLS Blog Spotlight

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What to Expect When the SEC Proposes Requirements for Advisers to Obtain Third Party Compliance Reviews

Since 2014, the Securities and Exchange Commission (“SEC”) has been talking about proposing requirements for SEC registered investment advisers to obtain third party compliance reviews.  The more recent being in Chairman Mary Jo White’s testimony given to the U.S. Senate Subcommittee on Financial Services and General Government Committee on Appropriations in April 2016, where she …

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