By Douglas Park, JD, PhD Director of Education 2019-01-15T14:24:31.253+00:00
The SEC has charged two subsidiaries of Prudential Financial with failing to disclose conflicts of interest and making misleading disclosures to the boards for 94 funds they advised.
Audit committees continue to increase the amount of disclosures they are providing to shareholders across a wide variety of categories, according to a recent analysis conducted by EY.
2019-09-10T18:44:00ZProvided by ComplySci
Understanding the regulatory environment, both past and current, can help shape your compliance strategies. ComplySci’s CCO Playbook will ensure you keep up with regulatory changes and provide you with a game plan to meet many of the top challenges CCOs face today.