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Tag: Enterprise Risk
Schapiro: SEC to Focus on Risk
March 29, 2011
In her address before SIFMA's Compliance and Legal Society Annual Seminar on March 23, 2011, Chairman Mary L. Schapiro outlined a new focus for the agency's Office of Compliance, Inspections and Examinations (OCIE). According to Schpiro OCIE will focus its examinations in part on "engaging… read more