Updated Wednesday, July 23, 2014 as of 2:05 AM ET
Practice - Regulatory/Compliance
SEC to Step Up Reviews of New and Unexamined Advisors
Friday, January 10, 2014
Partner Insights

WASHINGTON -- The SEC is putting advisors on notice that its examiners will cast a wide net in their reviews of investment advisors over the coming year, identifying a litany of priorities that includes probing for fraudulent activity, conflicts of interest and paying a visit to advisors who have never been examined before.

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