This year the SEC provided a steady stream of guidance illustrating which compliance and governance programs worked and which ones fell short. To help you plan for 2020, we have distilled the highlights in this Regulatory Year in Review. As you study enforcement cases, rule proposals and risk alerts, you’ll see there are trends for RIAs to consider in the year ahead.
Compliance norms change constantly. They change as business innovates and regulatory priorities and leadership shifts. Summer 2019 was rife with developments advisors should understand and then consider the 3 action steps below:
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