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March 20, 2008
Richards on SEC Exams of Investment Advisers
Speech by SEC Staff: Focus Areas in SEC Examinations of Investment Advisers: the Top 10, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, at the IA Compliance Best Practices Summit 2008, IA Week and the Investment Adviser Association, Washington, D.C. March 20, 2008.
March 20, 2008 in SEC Action | Permalink
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