SEC Remarks at Compliance Outreach Program Emphasize Role of Senior Management

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As we mentioned in an earlier blog post, the Securities and Exchange Commission recently held a Compliance Outreach Program National Seminar in Washington, D.C. for investment advisers and investment companies. While the program previously targeted chief compliance officers, this year’s program was expanded to senior management of investment firms as well.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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