Tag: supervisory risks

SEC’s Risk Alert on COVID-Related Compliance Risks Is Instructive for Canadian Registrants

Aug 31, 2020 | COVID-19, Regulatory Compliance

On August 12, the Office of Compliance Inspections and Examinations at the U.S. Securities and Exchange Commission (SEC) published a Risk Alert outlining compliance risk considerations for broker-dealers and investment advisors. Although the Risk Alert is most...

Tag: supervisory risks

https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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