Product Description
During this webinar, RIA Compliance Consultants discusses the 2014 SEC examination priorities for investment advisers. Our consultants provide an overview of the examination process and tips on steps a registered investment adviser can take to make sure that they are ready at all times for a regulatory examination. We also discuss the types of information and documentation that may be requested during an examination and some of the common regulatory deficiencies found during the examination process.
This webinar was hosted 2/20/14.