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Proactive Compliance Is Best Defense Against SEC Enforcement

Summary by Silver Regulatory Associates
By Fizza Khan This article has been reprinted with permissions from Bloomberg Law. The article was published by Bloomberg Law on June 1, 2020.  The SEC is continuing to carry out compliance exams, turning to electronic and remote exams as Covid-19 has stalled on-site exams. Fizza Khan, founder and CEO of Silver Regulatory Associates, offers several proactive steps for investment advisers to prepare for an exam and ensure proper compliance. Few t…
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Silver Regulatory AssociatesSilver Regulatory Associates

Proactive Compliance Is Best Defense Against SEC Enforcement

By Fizza Khan This article has been reprinted with permissions from Bloomberg Law. The article was published by Bloomberg Law on June 1, 2020.  The SEC is continuing to carry out compliance exams, turning to electronic and remote exams as Covid-19 has stalled on-site exams. Fizza Khan, founder and CEO of Silver Regulatory Associates, offers several proactive steps for investment advisers to prepare for an exam and ensure proper compliance. Few t…

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Silver Regulatory Associates broke the news in on Sunday, December 1, 2024.
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