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SEC Examinations and Enforcement

SEC Examinations and Enforcement

SEC Examinations and Enforcement. Todd Cipperman, Esq. Cipperman & Company ICI General Membership Meeting May 7, 2009. Overview. Core Initial Request List SEC Exams and Priorities Personal Liability Conflicts of Interest Liability of Fund Service Providers Marketing and Solicitation

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457 views • 18 slides
SEC Examinations and Enforcement

SEC Examinations and Enforcement

SEC Examinations and Enforcement. Todd Cipperman, Esq. Cipperman & Company ICI General Membership Meeting May 7, 2009. Overview. Core Initial Request List SEC Exams and Priorities Personal Liability Conflicts of Interest Liability of Fund Service Providers Marketing and Solicitation

★ ★ ★ ★ ★

279 views • 18 slides
SEC Examinations and Enforcement

SEC Examinations and Enforcement

SEC Examinations and Enforcement. Todd Cipperman, Esq. Cipperman & Company ICI General Membership Meeting May 7, 2009. Overview. Core Initial Request List SEC Exams and Priorities Personal Liability Conflicts of Interest Liability of Fund Service Providers Marketing and Solicitation

★ ★ ★ ★ ★

285 views • 18 slides
Regulatory Update

Regulatory Update

Regulatory Update. Todd Cipperman, Esq. Cipperman & Company Philadelphia Compliance Roundtable December 2, 2008. Overview. Core Initial Request List SEC Exams and Priorities Personal Liability Conflicts of Interest Marketing and Solicitation Customer Data Trading Valuation

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258 views • 17 slides
Why Junior Cycle reform is good news for students with special needs

Why Junior Cycle reform is good news for students with special needs

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232 views • 12 slides

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