James E.B. Bobseine

James E.B. Bobseine

Dechert LLP

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2013 Examination Priorities of the U.S. SEC’s Office of Compliance Inspections and Examinations

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities Exchange Commission (“SEC”) on February 21, 2013 announced its examination priorities for this year. These highlight market-wide issues such as...more

3/14/2013  /  Broker-Dealer , Clearing Agents , Conflicts of Interest , Fraud , Investment Adviser , NEP , OCIE , Securities and Exchange Commission (SEC) , Transfer Agents
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