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SEC Issues Warning for Outsourced Compliance

Sunday, Nov 15 2015

Regulatory & Compliance

Written by PFA News

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The Securities and Exchange Commission has issued a warning regarding outsourced compliance programs based on deficiencies that it has uncovered during examinations. So reports a Goodwin Proctor blog.

More specifically, advisory firms should ensure that outsourced compliance programs are customized for the specific needs of their firms and that strong communication exists with the compliance vendors.

Read the full post from Goodwin Proctor.

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