Performance Compliance Challenges for Investment Advisors

$25.00

This article addresses some of the areas that have captured the attentions of the SEC in the recent past and how they might affect us all.

Author: Jane Katz Crist

With all of the attention and reporting emphasis going to the converging global standards, we sometimes forget that there is a looming regulatory giant to whom we must pay homage. The SEC occasionally seems quiet, but they are surely not idle. This article addresses some of the areas that have captured the attentions of the SEC in the recent past and how they might affect us all.

 

Performance Compliance Challenges for Investment Advisors

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