 The compliance atmosphere has gotten much more challenging and complex for advisers,” said . The focus by the SEC on compliance program rules and chief compliance officers has certainly raised the level of anxiety for compliance personnel out there.”Karen L. Barr, president and chief executive of the Investment Adviser Association. |
More advisers simulating SEC exams to expose gaps before regulators come knocking
Liz Skinner | InvestmentNews, June 2015
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Summary: About 52% of advisers have had internal staff or a third party run their firms through a simulated examination of the kind that the Securities and Exchange Commission conducts periodically of advisers, according to a survey by the Investment Adviser Association in April and May.
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