LEX-WK-104HV7VPcrawled 2021-03-04 14:52Z
OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs
Anthony M. Drenzek · Robert Leonard · Michael Mavrides · Robert E. Plaze · The Capital Commitment · Published December 14, 2020
Work details
- firm or organization
- Proskauer Rose LLP
- publication
- The Capital Commitment
- practice area
- Banking, Finance and Securities
- published
- 2020-12-14
Citation
Anthony M. Drenzek, Robert Leonard, Michael Mavrides, Robert E. Plaze, OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs, The Capital Commitment (December 14, 2020) [The Library at LexBlog, LEX-WK-104HV7VP, lexpid.org/104HV7VP]