They're Coming - Preparing for Your Next Regulatory Examination

Jan. 2009

 

With the public scrutiny facing regulators of the financial services industry, the Securities
& Exchange Commission ("SEC") and the Financial Industry Regulatory Authority
("FINRA") have commenced wide-ranging inspections and examinations of some CCLS
client firms in the Pacific Region. In this Risk Management Update we shall discuss the
current regulatory examination process and the issues of concern as CCLS is seeing
brought forth in these recent examinations.

 

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