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SEC Pitches 'Surprise Exam' For Investment Advisers

By Ben James (May 14, 2009, 12:00 AM EDT) -- In a bid to reduce the likelihood that an investment adviser could make off with client funds without being detected, the U.S. Securities and Exchange Commission on Thursday proposed new safeguards to toughen up investor protection, including an annual "surprise exam" for advisers from an independent accountant....

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