SEC Examined 11% of Advisers in 2016

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.

Surviving an SEC Examination

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