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ocie
5 minute read
On February 26, the SEC’s Division of Examinations (the “Division,” formerly known as the Office of...
3 minute read
In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...
3 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
5 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
2 minute read
In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’s...
3 minute read
If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jason...
5 minute read
On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...
2 minute read
On April 7, 2020, the Securities and Exchange Commission (“SEC”) Office of Compliance Inspections...
3 minute read
On August 27, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published...