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IN THE NEWS
The SEC’s Office of Compliance Inspections and Examinations has released its Exam Priorities for 2016….
FINRA shares many of the same 2016 priorities as the SEC with the notable addition…
New anti-money laundering (“AML”) rules are coming for registered investment advisors (“RIA”). The Financial Crimes Enforcement…
On Monday, November 9th the OCIE’s National Exam Program issued a Risk Alert addressing their…