Search Results - subject:"National exam program"

What will the "eyes and ears" of the SEC choose to see and hear this year? : OCIE announces examination priorities for 2015

Berman, Kenneth; Harrell, Michael P.; Larkin, Gregory - In: The journal of investment compliance 16 (2015) 2, pp. 26-29

Persistent link: https://www.econbiz.de/10011405518

What will the “Eyes and Ears” of the SEC choose to see and hear this year? OCIE announces examination priorities for 2015

Berman, Kenneth; Harrell, Michael P.; Larkin, Gregory - In: Journal of Investment Compliance 16 (2015) 2, pp. 26-29

Compliance Inspections and Examinations (“OCIE”) in connection with the National Exam Program for 2015. Design … National Exam Program will continue to conduct examinations that focus on fees and expenses borne by investors in private …

Persistent link: https://www.econbiz.de/10014893664