supervision

    remote office

    FINRA

    time 2 minute read

    Best Practices for Remote Office Inspections

    Given the ongoing uncertainties related to the pandemic, broker-dealer firms have been monitoringfalse
    SEC Risk Alert

    compliance

    time 5 minute read

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert onfalse

    Best Practices for Remote Office Inspections

    Jennifer DiValerio | Dec 7, 2020 7:15:00 AM

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    Les Abromovitz | Nov 18, 2020 6:15:00 AM

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    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.