In this episode, we are looking at SEC Rule 206(4)-7, “The Compliance Rule”. You might be asking yourself the question, “Isn’t this entire series about compliance?” The answer is yes. However, this rule has become known as “The Compliance Rule” since this rule requires the establishment of what the SEC views as the heart and foundation of any successful compliance program.
Information
- Show
- Published30 November 2020 at 19:40 UTC
- Length11 min
- Season1
- Episode12
- RatingClean