SEC to use outside auditors to confirm advisory firm records
SEC examiners will turn to outside auditors and other third parties to help verify records at investment advisory and broker-dealer firms, an agency official said last week at the CCOutreach conference.
Securities and Exchange Commission examiners will turn to outside auditors and other third parties to help verify records at investment advisory and broker-dealer firms, an agency official said last week at the first CCOutreach conference for financial advisers, brokers and mutual fund professionals
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