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Journal Articles

What will the “Eyes and Ears” of the SEC choose to see and hear this year? OCIE announces examination priorities for 2015

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Kenneth Berman, Michael P. Harrell, Gregory Larkin
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (2): 26–29.
https://doi.org/10.1108/JOIC-04-2015-0022
Published: 06 July 2015
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Journal Articles

Expense allocation: the SEC brings down the hammer

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Kenneth Berman, Gregory Larkin, Phil V. Giglio, Erica Berthou, Michael P. Harrell, Jordan C. Murray, Jaime D. Schechter, Geoffrey Kittredge
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (1): 66–68.
https://doi.org/10.1108/JOIC-01-2015-0005
Published: 05 May 2015
View article titled, Expense allocation: the SEC brings down the hammer
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