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SEC Reminds Registered Firms of Importance of Compliance Programs
Practical Law Legal Update 0-384-1541 (Approx. 2 pages)
SEC Reminds Registered Firms of Importance of Compliance Programs
by PLC Corporate & Securities
| Published on 02 Dec 2008 • USA (National/Federal) |
An update on an open letter released by the SEC about registered firms' compliance programs.