BNA’s Securities Regulation & Law Report
The Survival Guide to Regulatory Examinations
February 14, 2011
摘要
The following is intended to serve as a guide to handling regulatory examinations for registered investment advisers or broker-dealers. The purpose of this document is to highlight legal and regulatory issues, as well as practical issues, that firms should consider and be ready to address during a regulatory examination.
作者：
John I. Sakhleh
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