 Our examinations will focus on areas most important to protecting investors,” Jane Jarcho, national associate director of OCIE’s Investment Adviser/Investment Company examination program. |
SEC Unveils Details of New Advisor Exams
Andrew Coen | Financial Planning, February 2014
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Summary: Specifics of the SEC's Office of Compliance Inspections and Examinations (OCIE) program, called the "Never-Before Examined Initiative" and aimed at targeting unexamined advisors that have been registered with the SEC for three or more years, come just over a month after the agency announced that this issue would be an examination priority in 2014.
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