When the inspector Calls, He May Be Asking New Questions - New Associate Director of Northeast Regional SEC Office Speaks of His Approach to Exams

January 01, 2007

Thomas A. Biolsi, the new Associate Regional Director of the Northeast Regional Securities and Exchange Commission Office, thinks counsel and compliance officers need to sit down with senior management, portfolio managers, and traders, and ask probing questions. He says lawyers are caught off guard because they do not know about conflicts of interest or sensitive personal or business relationships. 

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