Is the SEC overly concerned with Outsourced Chief Compliance Officer Engagements?
“Domain expertise tailored to your firm’s specific needs becomes a pivotal criterion in selecting the right individuals.”
MCG can get you Reg BI ready
Is your firm ready for the CHANGE! The SEC’s Regulation Best Interest (Reg BI) is moving full force ahead.
Is it more of the same with the OCIE 2019 Regulations?
The Securities and Exchange Commission’s (SEC) and Office of Compliance Inspection and Examination (OCIE) examination priorities seek to focus where it will have the most impact in protecting the investing public.