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3min chapter
How Asset Managers can Minimize Risk with the SEC
Law, disrupted
The SEC's Decision to Close an Investigation
As the Co-Chief of the Asset Management Unit, I was the one who ultimately decided whether or not to open an investigation or close an investigation. So my job was to sign all the openings and all the closings. Nothing got opened in my group without me signing off on it. But it wasn't something that where I would have to go to the director of the Division of Enforcement under most circumstances to make that decision.
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