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SEC Identifies Top Exam Deficiencies
Inaccurate regulatory filings, violations of custody rule requirements, code of ethics issues, recordkeeping problems, and insufficient written policies are five areas that have involved the most common deficiencies discovered during Securities and Exchange Commission exams. So reports JD Supra Business Advisor.
According to Dechert, the SEC determined the most common problem areas after studying the results of 1,000 examinations conducted during the prior two years.
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