2014 National Examination Priorities

 In Industry News

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: http://ow.ly/sLwgd 

Recommended Posts
Contact Us

We're not around right now. But you can send us an email and we'll get back to you, asap.



Stay current with all latest updates, upcoming events & much more.