The Rising Focus On Compliance
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The Rising Focus On Compliance
Five factors have combined to create a dramatic increase in the focus on compliance management in recent years for investment advisor firms. 1. High profile accounting irregularities. 2. Heightened media and political scrutiny. 3. Increased SEC enforcement activity. 4. Raised expectations on the burden of proof of compliance. 5. Shift to longer, more detailed SEC examinations. Consequently, there is a greater need for a comprehensive compliance monitoring system that can meet the increasing dema
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