Sean Geercken

Sean Geercken

Katten Muchin Rosenman LLP

Contact
View Bio
RSS

Latest Posts › Compliance

Share:

SEC Division of Examinations Highlights Common Deficiencies in Registered Investment Company Core Examination Areas

On November 4, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published an analysis of the most common deficiencies identified across its three core registered investment company (RIC)...more

11/12/2024  /  Compliance , Corporate Governance , Disclosure , Disclosure Requirements , Policies and Procedures , Securities , Securities and Exchange Commission (SEC)
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide