The SEC met its stated fiscal year 2016 goal by examining 11 percent of the investment adviser pool, meaning over 1,300 advisers were covered.
Some SEC exams might not focus on cyber at all, but the ones that do are likely to now include a more in-depth examination of it.
Getting From Here to There Identifying Records Electronic Record Keeping Recent SEC Document Request Lists Preparation Skills
Surviving an SEC Examination Nobody likes a pop quiz for which they didn’t study. But since the SEC exam is expected, let it be your firm’s opportunity to shine. This is your moment to explain your firm’s business and operations, … Read more