Article Details

SEC Examiners to Target SPACs

Retrieved on: 2021-03-15 21:49:00

Tags for this article:

Click the tags to see associated articles and topics

SEC Examiners to Target SPACs. View article details on hiswai:

Excerpt

Both broker-dealer and investment advisor examiners will be focused on SPACs. · Also on the exam team's agenda: mutual funds converting to ETFs and ...

Article found on: www.thinkadvisor.com

View Original Article

This article is found inside other hiswai user's workspaces. To start your own collection, sign up for free.

Sign Up
Book a Demo