Our annual year-end review covers investment adviser compliance highlights from 2018, and makes 2019 predictions. We will highlight enforcement actions and SEC risk alerts for retail advisers, private fund managers, and institutional wealth managers. Using these as road markers, our predictions are designed to lead reasonable and effective compliance program development.
- Evaluate 2018 Compliance and Regulatory Reporting
- Adapt to SEC Strategic Initiatives
- Allocate Resources Based on SEC Focus and Risk Alerts
- Make Adjustments According to the Changing Landscape
- Prepare the Future: New 2019 Predictions
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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.