Latest Breaking News On - Examinations staff risk alert - Page 1 : comparemela.com

For registered investment advisers, examinations by the Securities and Exchange Commission (SEC) are a part of doing business. While an SEC examination is inevitable, many advisers have.

Exchange commissionKl gatesCompliance programInformation regarding the compliance programDivision of examinations staff risk alertDivision of examinations theRisk alertAssessing risksScoping examinationsTypical initial information examiners requestRisk managementFacilitate testing with respectAdvisory tradingAbout advisory clientsPerform testingExaminations staff risk alert