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SEC Sweep on Alternative Mutual Funds Imminent
Dear Friends, The SEC will begin its sweep exams of alternative mutual funds “this summer or fall,” said Norm Champ, Director of the SEC’s Division of Investment Management, focusing on the following...
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SEC to Conduct IT Related Exams
February 9, 2015 Dear Friends, Vincente Martinez, Chief of the SEC’s Office of Market Intelligence, stated that the SEC will conduct another round of exams, specific to IT controls, targeting a...
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