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April 13, 2010
SEC Announces Policy of Unscheduled Adviser Visits
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 people to worry that competitors may plot to make their lives miserable. InvNews, SEC's new adviser exam schedule: 'We simply show up'April 13, 2010 in News Stories | Permalink
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