SEC Staff Says It Will Make Conflicts Of Interest Of Dually-Registered RIAs An Areas Of Focus Of RIA Examinations In 2013 Hot
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The SEC released its exam priorities every year “to communicate with investors and registrants about areas that are perceived by the staff to have heightened risk, and to support the SEC’s mission to protect investors, maintain fair, orderly, and efficient markets and facilitate capital formation.”
With the agency now responsible for examining 2000 newly registered hedge funds and private equity funds, the exam program remains under pressure to create a credible deterrent to fraud and incompetence by RIAs.
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