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OCIE flags 15(c) deficiencies; should spur boards to 'gut check'

11/22/2019

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued a risk alert earlier this month that detailed compliance deficiencies it found while conducting hundreds of fund examinations over the past several years—including some related to mutual fund boards' contract renewal processes. But while OCIE cites problems it found ... Log in to view full article.

 


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