SEC stresses importance of compliance
In an open letter released Tuesday, the SEC warned chief executives of registered financial services firms to be vigilant when it comes to keeping their compliance programs in order.
In an open letter released Tuesday, the SEC warned chief executives of registered financial services firms to be vigilant when it comes to keeping their compliance programs in order.
In the letter, Lori Richards, director of the U.S. Securities and Exchange Commission compliance inspections and
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