Intelligence, benchmarking, and certification for risk and compliance leaders, from the institution setting the standard since 1922.
The 18-month probationary period for the new Securities and Exchange Commission (SEC) marketing rule for investment advisers has expired and compliance with the rule is now mandatory.
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:... More by Aaron Nicodemus
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