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News February 6 & 13, 2012 Issue

Special Double Issue - SEC’s National Compliance Outreach Seminar for Advisers and Investment Companies

It has been two years since the SEC offered a compliance outreach program for advisers and investment companies. The day-long program held on January 31 offered five panels discussing compliance and enterprise risk management, trading practices, Dodd-Frank Act changes and impact, enforcement-related matters, and issues related to custody and the safety and soundness of client assets.

In this special double issue, ACA Insight brings you handy, all-in-one coverage of this event. The remarks reported here represent highlights and best takeaways from the day.