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2014 National Examination Priorities

2014 National Examination Priorities

Mitch Avnet
No Comments
January 10, 2014

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: 


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