Compliance Risk Concepts: Senior Compliance Consultants & Executives.

2014 National Examination Priorities

2014 National Examination Priorities

Mitch Avnet
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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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