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Top compliance program mistakes (and how to avoid them): A marathon, not a sprint
The final part in this series of 3: Compliance as an ongoing commitment of documentation, consistency, and continuous improvement.
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Top compliance program mistakes (and how to avoid them)
Part 1, in a series of 3, on common compliance mistakes investment advisers make. First – how to build an engaging compliance manual.
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SEC Exams in 2025: A practical playbook for private fund advisers
SEC exams are likely to stay just as rigorous, if not become even more detail-oriented.
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The GRIP Files: Portia Amato, Practice Lead – US, Bovill Newgate
With 20 years of compliance experience, Portia tells us about her career and what happened when the SEC made an unexpected visit on the day before Christmas Eve!
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Why we need a brain science approach in compliance training
Aligning training methods with brain science such as spaced repetition, active recall, and storytelling, will help candidates achieve success in high-stakes licensing exams.
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SEC releases fiscal year 2025 examination priorities
Emerging risk areas (such as AI), plus cybersecurity, crypto and AML in focus as we dig deep into Examination Priorities document.