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SEC warning to registrant CEOs: Now Is not the Time to Neglect Compliance (Complinet article)

8 January 2009
Mayer Brown Article
8 January 2009 - Facing an unprecedented global economic crisis, businesses naturally are exploring ways to cut costs. In doing so, SEC registrants — investment advisers, investment companies and broker-dealers — should not compromise their compliance and risk management programs.
SEC_warning-MayerBrown.pdf PDF 0.07 MB

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