SEC Office Of Compliance Inspections And Examinations Issues Risk Alert On Whistleblower Rule Compliance

Authors :: Eisert, Edward G.
Source :: Mondaq Business Briefing. November 9, 2016
Publication Year :: 2016
Abstract: On October 24, Staff in the Office of Compliance Inspections and Examinations (the 'Staff') issued a National Exam Program Risk Alert announcing that it is examining registered investment advisers and [...]

Subjects :: United States. Securities and Exchange Commission -- Powers and duties
Labor law -- Analysis
Whistleblowing -- Laws, regulations and rules -- Forecasts and trends
Labor contracts -- Forecasts and trends -- Laws, regulations and rules
Government regulation
Market trend/market analysis
Business, international

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