Corey Zarse

Corey Zarse

Jones Day

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SEC's OCIE Issues Risk Alert on COVID-19 Risks and Considerations for Broker-Dealers and Investment Advisers

The Situation: Throughout the COVID-19 pandemic, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") has continued to operate via off-site examinations and remote working...more

9/15/2020  /  Broker-Dealer , Business Continuity Plans , Compliance , Coronavirus/COVID-19 , Investment Adviser , OCIE , Policies and Procedures , Remote Working , Securities and Exchange Commission (SEC)
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