Paul Foley

Paul Foley

Akerman LLP

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SEC Division of Examinations Calls Out Compliance Weaknesses and Spells Out Expectations Moving into 2021

The SEC's Division of Examinations recently issued a Risk Alert with observations on investment adviser compliance programs, noting numerous deficiencies and weaknesses it has encountered....more

1/6/2021  /  Chief Compliance Officers , Compliance Management Systems , Coronavirus/COVID-19 , Industry Examinations , Infectious Diseases , Investment Adviser , Risk Alert , Securities and Exchange Commission (SEC) , Strategic Enforcement Plan
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