Julius Leiman-Carbia Named Head of SEC’s National Broker-Dealer Examination Program

On April 20, 2011, the Securities and Exchange Commission announced the appointment of Julius Leiman-Carbia as Associate Director to lead the National Broker-Dealer Examination Program in the SEC’s Office of Compliance Inspections and Examinations (OCIE).  For more on SEC examinations of hedge fund managers, see Part 1, Part 2 and Part 3 of our three-part series on what hedge fund managers need to know to prepare for, handle and survive SEC examinations.

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