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Oft heralded as the playbook for compliance program's yearly initiatives, the U.S. Securities and Exchange (SEC) agenda can reinforce your compliance team's priorities or completely reinvent them. Luckily, given the scope of the SEC's releases, notes, and regulatory updates over the course of the last six to twelve months, the agenda – and the items therein – should come as no surprise.
As we await the arrival of the 2022 agenda, what compliance teams must focus on is how they will address relevant agenda items, ensuring their firm remains in compliance and removes unnecessary risk on both an organization and employee level.
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