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SEC’s Risk-Based Examination Program Increases Efficiency, but Misclassification of Investment Advisers by Risk Category Is Still a Problem  


Author:  Staff Editors.


Source: Volume 21, Number 02, November/December 2007 , pp.38-40(3)




Journal of Taxation and Regulation of Financial Institutions

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Abstract: 

In Securities and Exchange Commission: Steps Being Taken to Make Examination Program More Risk-Based and Transparent, the General Accounting Office noted that the Office of Compliance Inspection and Examinations (OCIE) began shifting its approach to examinations of investment companies and investment advisors after the mutual fund trading abuses of late 2003.

Keywords: Investment company and advisor oversight; OCIE

Affiliations:  .

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