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The SEC appointed Andrew J. Bowden as the Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE). Mr. Bowden will also lead...
Carlo V. di Florio has announced that he is stepping down as Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE). Mr....
Mary Jo White, the Chairman of the SEC, spoke at the ICI’s General Membership Meeting in Washington, D.C. about global securities regulation. After...
The SEC’s Division of Investment Management issued another IM Guidance Update, which focused on the importance of complying with the terms of...
