martindale.com
Legal Library
|
SEC Reminds Firms of Critical Role of Compliance |
February 10, 2009
Previously published on December 2008
The SEC's Office of Compliance Inspections and Examinations recently issued an open letter to CEOs of SEC-registered firms reminding them of their obligations to maintain adequate compliance programs during "this time of financial and market turmoil." (Dec. 2, 2005).
|
The views expressed in this document are solely the views of the author and not Martindale-Hubbell. This document is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance. |
Practice Area Resource Centers
|
|
RSS | Blog | Advertising Opportunities | Site Map | Contact Us