LEX-WK-EYAJXYA6crawled 2025-07-15 07:33Z
Pitfalls to Avoid in Investment Adviser Compliance Programs: SEC OCIE Risk Alert
Cheryl Haas · Subject to Inquiry · Published November 24, 2020
Work details
- author
- Cheryl Haas
- firm or organization
- McGuireWoods LLP
- publication
- Subject to Inquiry
- practice area
- Banking, Finance and Securities
- published
- 2020-11-24
Citation
Cheryl Haas, Pitfalls to Avoid in Investment Adviser Compliance Programs: SEC OCIE Risk Alert, Subject to Inquiry (November 24, 2020) [The Library at LexBlog, LEX-WK-EYAJXYA6, lexpid.org/EYAJXYA6]