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Recent SEC enforcement actions make annual policies and procedures exams even more important

Sprucing up your compliance manual early and often can prevent the SEC leaving coal in your Christmas stocking

Thursday, January 5, 2012 – 4:59 AM by Guest Columnist Les Abromovitz
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Les Abromovitz: You won't score points with examiners by having superfluous or irrelevant policies and procedures.

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




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