2014 National Examination Priorities
On January 9th, the SEC published it's National Examination Priorities for 2014. On the top of their list - Fraud Detection and Prevention, Corporate Governance, Conflicts of Interest, Enterprise Risk Management, Technology and issues specific to Dual Registrants.
Now is a good time to review these priorities vs. your organization's current control environment, policies and procedures and discrete risk management activities. Read more:Â https://ow.ly/sLwgd
Where We Have Been, Where the Signals Point, and What to Do Before Year-End The […]
There is a comfortable fiction embedded in how most registered investment advisers and broker-dealers think about material nonpublic […]
The recent FinCEN advisory directing financial institutions to detect and report suspicious activity linked to […]
Where We Have Been, Where the Signals Point, and What to Do Before Year-End The […]
There is a comfortable fiction embedded in how most registered investment advisers and broker-dealers think about material nonpublic […]
The recent FinCEN advisory directing financial institutions to detect and report suspicious activity linked to […]
