SEC offers businesses compliance alerts
The Securities and Exchanges Commission (SEC), which has primary responsibility for regulating the US securities market, will offer a ComplianceAlert letter to SEC-registered firms.
The ComplianceAlert letter will inform chief compliance officers at the registered firms about deficiencies and weaknesses that SEC examiners have identified during compliance examinations.
SEC Chairman Christopher Cox said: "Investors are best protected when securities firms operate in full compliance with the law. Along with our CCOutreach programme, these ComplianceAlert letters are another step
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