Search Results for 'Ocie'

Ocie published presentations and documents on DocSlides.

For at least the past six years staff in the Office of Compliance Inspections and Examinations the staff and OCIE respectively ha ve observed and outside studies have indicated that i nvestment adv

For at least the past six years staff in the Office of Compliance Inspections and Examinations the staff and OCIE respectively ha ve observed and outside studies have indicated that i nvestment adv

olivia-moreira
9 Slides

An adviser that exercises discretion to purchase ...

US SECURITIES AND EXCHANGE COMMISSION

US SECURITIES AND EXCHANGE COMMISSION

obrien
13 Slides

Cybersecurity and Resiliency ObservationsOFFICE OF...

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