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.”
“Domain expertise tailored to your firm’s specific needs becomes a pivotal criterion in selecting the right individuals.”
Is your firm ready for the CHANGE! The SEC’s Regulation Best Interest (Reg BI) is moving full force ahead.
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.