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News May 20, 2019 Issue

Put Best Practices in Place to Ensure Branch Office Compliance

Branch office compliance practices have long been high on the SECís radar. Its Office of Compliance Inspections and Examinations has listed branch offices among its priorities for several years running and issued a risk alert to let advisers know what its examiners found. But ensuring compliance at branch offices, particularly new branch offices following an acquisition, takes considerable time and effort.

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