Tue, Sep 5, 2017

Kathy Malone Quoted in Ignites: The SEC Revives its Surprise Exams

Kathy Malone, Managing Director in the Compliance and Regulatory practice at Duff & Phelps, was quoted in Ignites on SEC Exams.

The SEC is reviving its unannounced exams. "Usually we get more specific guidance from the SEC in the beginning of the year, but Mary Jo White was leaving right after the exam priorities came out, so we’ve been seeing different kinds of sweeps,” as Kathy explains.

The full article is available on the Ignites website for subscribers.