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SEC Exam Priorities for 2016

    

 

SEC Exam Priorities for 2016

On Jan 11, the U.S. Securities and Exchange Commission (SEC) released the Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2016. Listen back as MyComplianceOffice and expert professional, Patrick J Burns of Advanced Regulatory Compliance (ARC) share what CCOs can do to prepare for a visit from SEC examiners.

You can access the slides from this webinar here

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