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Portfolio Managers › Investment Portfolios › Investment Advisers Act of 1940

SEC Compliance Consultants, Inc. (SEC³)

How Much Testing is Enough?

SEC Compliance Consultants, Inc. (SEC³) on

Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more

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