 In a firm that is both well-run and well-prepared, the CCO can seize the opportunity to showcase a culture of compliance and fiduciary excellence."Blaine Aiken, president and chief executive, fi360 Inc |
Prepare early for regulatory exams
Blaine Aiken | InvestmentNews, March 2014
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Summary: Why should an ad-viser spend time preparing for a regulatory exam? Only about 60% of SEC-registered investment advisory firms have undergone a compliance examination. Congress blusters about holding the Securities and Exchange Commission accountable to do more but simultaneously denies funding necessary to make that practical.
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