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Are You
Compliance-Ready?


  •  
  • 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

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12 Timely Takeaways for Preparing for the SEC’s 2013 Examination Priorities

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