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InspereX Appoints Sandeep Bangar Mortgage Sales & Credit Analyst saltlakecitysun.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from saltlakecitysun.com Daily Mail and Mail on Sunday newspapers.
Los Angeles Fire & Police extends Semper Capital for a year pionline.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from pionline.com Daily Mail and Mail on Sunday newspapers.
To embed, copy and paste the code into your website or blog: 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. Despite the massive disruption caused by the COVID-19 pandemic, the SEC didn’t skip a beat, moving ahead with examinations, enforcement actions, and regulatory initiatives in 2020. The SEC’s Division of Examinations (the Division, formerly known as Office of Compliance Inspections and Examinations, or OCIE), shifted to remote examinations and focused on threats posed by COVID-19, such as fraud, insider trading, and inadequate disclosure. Although some deadlines and requirements ....