PROTECT YOUR FIRM FROM POTENTIAL COMPLIANCE VIOLATIONS

As regulators share out Risk Alerts, enforcement action, and yearly Exam Priorities, they expect firms to take action. 

But what is the right course of action after you learn of a common SEC compliance deficiency?    

To help you better understand SEC oversight and expectations, we’ve compiled some of the most common deficiencies, including how firms often fall short and what you can do to recognize and remedy any errors.