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News December 11, 2017 Issue

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

Every six months, the SECís Office of the Inspector General issues a report to Congress in which it updates its progress in investigating aspects of the Commissionís 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 Examinationsí investment adviser exam controls, and the agencyís management of its data centers

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