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SEC Examines Mutual Funds, Money Market Funds and Target Date Funds
Dorsey & Whitney LLP 
[Guidance Overview] Nov. 13, 2019 "On November 7, 2019, the SEC's Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert highlighting the most often cited deficiencies and weaknesses observed in recent examinations of registered investment companies, including as related to national examination initiatives focusing on money market funds and target date funds." MORE >> |
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