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Summary: In 2012 the SEC began its presence exam initiative among newly registered investment advisors, with the aim of ensuring compliance with federal securities laws and the RIAs’ own company standards. Now, in 2014, the SEC has announced what it terms the never-before-examined initiative. There are five main areas advisors can tackle now ahead of a potential SEC audit.
 It is always prudent for RIAs to regularly review their business practices against compliance requirements, regardless of the possibility of examination. The never-before-examined initiative merely underlines this truism."Jillian Timmermans and Amelia Stoj, presidents, Cordium |
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