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Managing Your Annual Compliance Checklist - Blog

 
Wednesday, November 3 2021
Blog

Managing Your Annual Compliance Checklist

2020 was a year unlike any other, as we worked through the impact of the COVID pandemic, shutdowns, and sheltering in place.   With everyone trying to resume life as normal while... [...]
Monday, August 2 2021
Blog

Finfluencers and Zoom Inspections

In July, Robert Cook, President, and CEO of FINRA (Financial Industry Regulatory Authority), warned member firms that FIRNA would soon begin three targeted sweeps to address areas of concern:  ... [...]
Wednesday, May 26 2021
Blog

Financial Reporting and Auditing of SPACs

Special Purpose Acquisition Companies (SPACs) have become increasingly popular as private companies see the potential opportunities they provide to bring private companies into public markets more quickly than possible under... [...]
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