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Are you a Prime Target for SEC EXAMS? Determining your Risk Quotient and How to Prepare.
A common question that investment advisers often wonder is: When is the next time the U.S. Securities and Exchange Commission (“SEC”) will examine me?
The answer to this often lies in the risk quotient tied to the firm.
When the last time the adviser was examined, new products and service offerings, and tips, referrals and complaints all factor into this. The SEC has a risk-based approach to determining when advisers should be examined which also can be driven by new rules and resources available to the SEC staff to conduct registrant examinations.… Read More
