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  • January 22, 2018
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    Simons Says

    December 7, 2017

    SEC Update

    Two things I want to talk about, the Nov. 15 Division of Enforcement Annual Report for FY 2017 (“Report”), and the speech that Peter Driscoll, director of the SEC Office of Compliance Inspections and Examinations (“OCIE”) gave at the GIPS® Standards Annual Conference on Sept. 14.

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