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4min chapter
How Asset Managers can Minimize Risk with the SEC
Law, disrupted
The Benefits of Responding to an SEC Investigation
If you can show that you've really tackled the problem, it can really truncate any sort of investigation and lead to lower costs for the firm. It also helps reduce any sort of penalty, maybe even down to zero that no penalty is needed. So there are lots of opportunities there to really sell the story that your firm did the right thing.
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