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News December 11, 2017 Issue

OIG Turns Spotlight on SEC Exam Program, Data Center Management Problems

Every six months, the SEC’s Office of the Inspector General issues a report to Congress in which it updates its progress in investigating aspects of the Commission’s activities. In its latest report, released December 1, the watchdog arm of the SEC takes aim at, among other things, the Office of Compliance Inspections and Examinations’ investment adviser exam controls, and the agency’s management of its data centers

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