The Importance of An Adviser’s Annual Review
Mar./Apr. 2013
Inadequate Compliance Programs Could Lead to Enforcement Actions & Penalties
In a recent press release, the SEC announced three enforcement actions against firms for failing to meet their obligations under Rule 206(4)-7 of the Advisers Act, commonly referred to as the “Compliance Program Rule.” Rule 206(4)-7 requires firms to (i) … Read More