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As investment advisers continue to develop new ways to cope with COVID-19, “new challenges may arise from the solutions,” U.S. compliance professionals were told at a recent U.S. Securities and Exchange Commission outreach seminar.
“This is an evolving situation and we will remain cognizant of the reality on the ground,” Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, told the event last month.