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The SEC's unannounced compliance exams are growing more common. That means the ‘I’ll-get-to-it’ strategy is an even worse idea than before.

How to test your firm’s readiness

Author Les Abromovitz, Guest Columnist April 28, 2010 at 5:46 AM
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Les Abromovitz: The SEC examiner in your office may be a bit more skeptical about your firm’s conduct than was previously the case during a routine examination.


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Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner

Aurora Compliance Solutions
RIA Set-up Firm
Top Executive: Edward Romanowsky



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