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Division Of Exams Issues Risk Alerts On Safeguarding Customer Records At Branch Offices And LIBOR-Transition - Financial Services - Vimarsana News

Division Of Exams Issues Risk Alerts On Safeguarding Customer Records At Branch Offices And LIBOR-Transition - Financial Services

Published: May 26, 2023

The staff at the Securities and Exchange Commission's Division of Examinations (the "Division") conducts the SEC's National Exam Program. Recently, the Division issued two Risk Alerts...

Source: mondaq.com
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SEC Staff Issue Risk Alert on LIBOR-Transition Preparedness for Investment Advisers and Investment Companies | Seward & Kissel LLP - Vimarsana News

SEC Staff Issue Risk Alert on LIBOR-Transition Preparedness for Investment Advisers and Investment Companies | Seward & Kissel LLP

Published: May 17, 2023

Who may be interested: Registered Investment Companies, Registered Investment Advisers - Quick Take: The staff of the SEC’s Division of Examinations (Staff) recently...

Source: jdsupra.com
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Investor CommunicationsDivision Of Examinations StaffInvestment CompaniesSeward KisselRegistered Investment CompaniesRegistered InvestmentInformed About Ongoing