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: Securities Law Prof Blog

SEC Announces Policy of Unscheduled Adviser Visits

By Securites Lawprof

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An SEC compliance official recently announced that OCIE is indefinitely suspending its regularly-scheduled examinations of investment advisers and instead is conducting unannounced inspections based on tips of wrong-doing. Obviously in response to the Madoff scandal, the new policy leads industry...

Full post as published by Securities Law Prof Blog on April 13, 2010 (boomark / email).

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