The SEC's unannounced compliance exams are growing more common. That means the ‘I’ll-get-to-it’ strategy is an even worse idea than before.
How to test your firm’s readiness
Author Les Abromovitz, Guest Columnist April 28, 2010 at 5:46 AM
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Mentioned in this article:
NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner
Aurora Compliance Solutions
RIA Set-up Firm
Top Executive: Edward Romanowsky
