SEC Announces 2015 Examination Priorities
The SEC has released its examination priorities for 2015. The list includes cyber-security controls and assessing anti-money laundering efforts, with a focus on firms that have not filed suspicious activity reports or have incomplete or late filings. SEC staff will also examine proxy advisory service firms, assessing how they make ...
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News BriefSEC charges duo in $275 million water vending machine Ponzi scheme
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Basic Page‘Extraordinary cooperation’ pays off for PFS Investments
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