Page 164 - CFF
P. 164

SEC investigations






         How triggered


         • Review of forms filed with the SEC


         • Routine inspections of persons or entities

             regulated by the SEC



         • Tips from the public


         • Referrals from other government agencies


         • News reports


         • Information received from other SEC

             investigations


         15   © 2019 Association of International Certified Professional Accountants. All rights reserved.
   159   160   161   162   163   164   165   166   167   168   169