Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.
The Filing Cabinet

"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.
1 results found, filtered by:
-
The Filing Cabinet Blog
Risk alert spotlights exam pitfalls for investment advisers
Joe Mont | February 8, 2017
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert that details the most prevalent compliance miscues identified in its examinations of investment advisers
Displaying 1 result