Keep a Close Eye on These Top 10 Risk Categories
How confident are you in preparing for an SEC exam? Firms of all sizes and strategies are assessing their SEC compliance programs by reviewing their internal procedures and tools, and determining whether the firm is up-to-date on the most pressing compliance issues.
In our guide, we discuss the most significant risk categories related to SEC compliance, many of which are ongoing exam priorities.
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Neal Kalechofsky
VP – Alternatives, AllianceBernstein
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