We use cookies on this site to enable your digital experience. By continuing to use this site, you are agreeing to our cookie policy. close

Breaking Down SEC’s Risk-Based Exam Initiatives For Funds

Law360 (December 6, 2018, 5:26 PM EST) -- The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a risk alert on Nov. 8, 2018, stating that it is conducting a series of examination initiatives focused...
To view the full article, register now.
Law360 Pro Say Podcast
Check out Law360's new podcast, Pro Say, which offers a weekly recap of both the biggest stories and hidden gems from the world of law.