News & Analysis as of

Broker-Dealer › Business Entities › Chief Compliance Officers

SEC Compliance Consultants, Inc. (SEC³)

Tips for Updating Your Compliance Program in 2025

SEC Compliance Consultants, Inc. (SEC³) on

In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7....more

1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide