Mar. 2013
In February 2013, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) issued their exam priorities for 20131 covering issues related to a variety of financial firms, including but not limited to broker-dealers, investment advisers, investment companies, transfer agents, hedge funds and private equity funds, clearing agencies, and self-regulatory organizations (“SROs”). The list was published by OCIE as part of their National Examination Program (“NEP”), which is designed to help: (1) improve compliance, (2) prevent fraud, (3) inform policy, and (4) monitor firm-wide and systemic risk.
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