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OCIE prioritizes fund, ETF oversight in 2019

01/03/2019

Independent directors overseeing open-end and exchange-traded funds should be prepared for examiners from the Securities and Exchange Commission to "peek inside the boardroom" this year as the regulator continues to focus on board oversight practices and how they impact shareholders, according to industry lawyers. The SEC's Office of Compliance Inspections and ... Log in to view full article.

 


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