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.
The exam priorities were selected by senior staff from the 12 offices of the SEC's National Examination Program, which oversees investment advisors and companies, broker-dealers, exchanges and self-regulatory organizations, and clearing and transfer agents.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access