Top 10 Tips for Updating your Compliance Program for 2021
By EsqSocial Corporation 18/01/21
As 2020 finally comes to a close, compliance officers face the unenviable job of performing their compliance program’s annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm’s compliance policies and procedures to reflect relevant changes to regulations and regulatory guidance. Here’s a cheat sheet for Chief Compliance Officers summarizing the SEC’s big-ticket items from 2020....
By: Hardin Compliance Consulting LLC