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SEC Flags Deficiencies in Investment Adviser Annual Compliance Reviews
Written compliance policies are only effective when they reflect how a firm actually operates. Explore common gaps between compliance procedures and day-to-day practices, and practical steps investment advisers can take to identify and address them.
When Compliance Policies and Practices Don’t Match
Written compliance policies are only effective when they reflect how a firm actually operates. Explore common gaps between compliance procedures and day-to-day practices, and practical steps investment advisers can take to identify and address them.