PHOENIX - The SEC's Office of Compliance Inspections is increasingly bringing along representatives of the Division of Enforcement into its examinations of brokers and advisors.
The practice was billed as an example of more “collaboration” between examiners and enforcers, at the Investment Company Institute’s Mutual Funds and Investment Management Conference here by Andrew Bowden, associate director of the Investment Advisers and Investment Companies Office of Compliance Inspections and Examinations at the SEC, and counterpart Robert B. Kaplan, co-chief of the Asset Management Unit within the Division of Enforcement at the securities regulator.
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