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Are You Compliance-Ready?
12 Timely Takeaways for Preparing for the SEC’s 2013 Examination Priorities
Discover:
- What the changing regulatory landscape means for you
- What the SEC is focusing on in 2013 and beyond
- How to perform a self-exam of your firm’s compliance readiness
- Questions to ask yourself as you prepare for your exam
- Key steps you can take to ensure you’re compliant
- What to do when the examiners arrive in your office
