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Building Your Compliance Muscle

Building Your Compliance Muscle - Why the SEC’s New Initiative Means RIAs Need to Get Into Better Regulatory Shape By Dave Carson, VP Director of Client Strategies at Ultimus Fund [...]

By | 2019-07-12T10:33:57-04:00 June 17, 2015|

Rebooting the SOX Discussion

Key Compliance Considerations as the SEC Renews Efforts to Stem Accounting Fraud By Bo Howell, VP Director of Fund Administration, Ultimus Fund Solutions The 2002 adoption of The Sarbanes-Oxley Act [...]

By | 2015-02-09T00:00:00-04:00 February 9, 2015|