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Latest Compliance Insights and Tips

Investment Advisers

Simon Says – Déjà Vu All Over Again

There we were on July 22, talking about disciplinary history policy, and OCIE’s September 12, 2016 Risk Alert, “Examinations of Supervision Practices at Registered Investment

Investment Advisers

Financial Advisors Hammered By Compliance Costs

By Brian O’Connell InsuranceNewsNet ‍ Financial services firms are getting fed up with high compliance costs, as 90 percent said they expect such costs to rise, according

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