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regulatory exams
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...
3 minute read
The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations...
3 minute read
On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced...
4 minute read
On April 29, 2019, Peter Driscoll, Director of the SEC’s Office of Compliance Inspections and...
3 minute read
Regulation S-P is the SEC’s primary rule pertaining to the privacy notices and safeguard policies...
2 minute read
I recently spoke at the IA Watch/Regulatory Compliance Watch compliance conference in Philadelphia...
2 minute read
The SEC’s 2018 National Exam Priorities[i] clearly lays out five principals guiding the Office of...