On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser […]
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