Category Archives: Uncategorized

SEC Compliance Preparation for 2018

The SEC recently released its examination priorities for 2018.  So what compliance areas should firms focus on to ensure that they are in compliance with the SEC’s regulatory expectations? Primary areas of focus should include: Risk Assessments Policies and Procedures … Continue reading

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Why Small Businesses Should Implement Corporate Governance Policies

Corporate governance refers to the set of internal policies, rules and procedures that a company regularly follows to ensure that it operates in a fair, equitable and appropriate manner for the benefit of management, stakeholders and the organization as a … Continue reading

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