“Intermediaries are cagey. We get it…” Continue reading on boardiq.com
On February 21, 2013, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2013 examination priorities for financial institutions. The publication identifies the market-wide issues on which the SEC will be focused, and also the specific subjects of interest within the distinct areas of OCIE’s National Examination Program. For all SEC registrants, OCIE …
Continue reading “SEC Announces National Examination Program Priorities for 2013”
On March 1, 2013, the Securities and Exchange Commission issued a request for information to aid the agency in its consideration of revisions to the respective standards of care imposed on investment advisers and broker-dealers when they provide personalized investment advice. In particular, the SEC staff seeks quantitative data and economic analysis pertaining to existing …