Dual Registrants, Alternatives Top SEC's Concerns

ARLINGTON, VA. -- As SEC examiners make their rounds at advisor practices this year, they will be taking a hard look at dually registered firms and the use of non-traditional mutual funds, according to the head of the commission's compliance unit.

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Comments (1)
Good information. The SEC regulations have changed especially for private equity and Hedge funds as a consequence of the Dodd Frank act. The frequency of examinations have increased and its important businesses are ready with the necessary documents during the audit to avoid sanctions from the enforcement division. I work for McGladrey and there's a whitepaper "Is your fund prepared for the SEC's heightened regulatory focus?" it offers good information on how businesses can be prepared for this @ http://bit.ly/1bEjpzs
Posted by suresh k | Friday, March 07 2014 at 7:31AM ET
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