What to Expect During an SEC Examination of an RIA Firm?

By Emil Ali / December 29, 2020 / 0 Comments

The U.S. Securities and Exchange Commission (SEC) Division of Examinations (formerly known as the Office of Compliance Inspections and Examinations), is responsible for examining registered investment advisers (RIA), investment companies, and private funds. In performing examinations, the SEC staff review disclosures, conflicts of interests, marketing, advertising, cybersecurity, business continuity, and other asset management priorities.  With […]

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