Risk Alert reveals the SEC’s staff observations regarding effective outsourced CCOs

by NCS Regulatory Compliance on November 9, 2015

November 9, 2015 – NCS and Regulatory Compliance employ a comprehensive compliance process with Outsourced CCO clients, including frequent communication and onsite visits, which are designed to address the SEC staff observations regarding effective outsourced CCOs. Read the entire alert [more…]

 

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