Monthly Archives: January 2014
SEC 2014 Examination Priorities Include Focus on New and Unexamined Advisers
By: Kelly Kneeshaw-Price, Esq. In addition to investment adviser’s ongoing annual compliance reviews and procedures, including updates to written supervisory procedures (WSP) and Form ADV, RIAs and Chief Compliance Officers (CCO) should be aware of and prepared for recent focus … Continue reading
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