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The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...
Eversheds-Sutherland gives RCW permission to share with you its checklist to aid compliance with the SEC's new IA ad rule
A peer shares a due diligence document
A peer shares the firm's rollover form created to comply with the Labor Department's new rollover exemption
The SEC adopts rules to convert the filing of certain applications, confidential treatment requests, and forms from paper to electronic submission
"The Commission seeks to promote efficiency, transparency, and operational resiliency by modernizing the manner in which information is submitted to us"
"In a digital age, it is important for filers to have easy, online methods to submit information to the Commission"
Jill Grenda, managing director at Hardin Compliance Consulting outside Pittsburgh, kindly shares her BCP Checklist
This is an example a peer shares of a non-disclosure agreement
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