September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]

The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call”.

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.