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SAS 136: The communication of reportable findings

SAS 136: The communication of reportable findings

SAS 136 includes requirements to communicate reportable findings identified as a result of testing relevant plan provisions.
SEC proposals: Private fund advisers and RIA compliance reviews

SEC proposals: Private fund advisers and RIA compliance reviews

The SEC has issued proposed rules, which, if finalized would amend and create new requirements under the Advisers Act.