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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"In the three years we've partnered with Ontra, their Insight solution has helped to ensure we're in compliance with all of our contract obligations. We're incredibly pleased with Ontra's use of cutting-edge technology to deliver legal solutions optimized for quality, speed, and low cost."

Neal Kalechofsky
VP – Alternatives, AllianceBernstein

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