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Searching Content indexed under Compliance by Peter Wilson ordered by Published Date Descending.
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OCIE Observations From Examinations Of Investment Advisers
As part of the OCIE's focus on protecting retail investors, the staff conducted a series of examinations to assess the oversight practices of SEC-registered investment advisers that previously employed, ...
United States
2 Aug 2019
2
SEC Adopts New Rules And Interpretations
The SEC's interpretations under the Advisors Act will become effective upon publication in the Federal Register.
United States
19 Jun 2019
3
Quarterly U.S. Regulatory Roundup – First Quarter 2019
In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates and enforcement and judicial actions from the SEC, FINRA, NFA and CFTC ...
United States
29 May 2019
4
OCIE Risk Alert Relating To Electronic Messaging
If you have any questions or require further information, please do not hesitate to contact one of our experts.
United States
16 Jan 2019
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