20 Février 2014

SEC announces initiative directed at never-before examined registered investment advisers

20 février 2014

Washington D.C., Feb. 20, 2014 —

The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been registered with the SEC for three or more years.  OCIE previously announced that examining these advisers is a priority in 2014.

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http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540814042

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