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On February 20, 2014, the U.S. Securities and Exchange Commission (“SEC”) announced that they will be commencing their “Never-Before-Examined” Initiative. As part of this Initiative, they anticipate examining a “significant percentage” of registered investment advisers (“RIAs”) that have never been examined, focusing on those that have been registered three or more years. In response, This presentation will covers key aspects of this new initiative as well as practical advice for navigating the SEC examination process as applicable to all RIAs
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