An article published by BoardIQ on Sept. 12 titled Surprise Exams Are Back, and Boards Prepare With CCO discusses the revival of surprise examinations by the SEC’s Boston office and discusses how Chief Compliance Officers should prepare in event of an unexpected exam. It “makes sense for directors to talk to their chief compliance officer to find out whether the CCO would be ready for such an exam should that particular fund group get one, what kind of resources would the CCO have dedicated to that, how it would unfold, how disruptive it would be to the organization,” advised investment management partner Paulita Pike (Chicago) in the article.
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