Tag: SEC Exams
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | SEC News
SEC issues Risk Alert on Outsourcing Compliance
By Jaqueline M. Hummel, Managing Director November 13, 2015 On November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert on the outsourcing of compliance…