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Articles Posted in Presence Exams

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SEC to Conduct Presence Exams for Never-Before Examined Investment Advisers in 2015

During the January 7th Practising Law Institute conference on Hedge Fund Compliance and Regulatory Challenges, the Director of the SEC Office of Compliance Inspections and Examinations (“OCIE”), Andrew Bowden, previewed some of the new priorities on which the SEC will focus in 2015. Some of the areas of focus include…

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