Highlights of 2015 SEC Exam Priorities
On-Demand recording now available:
The 2015 examination priorities address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges. Save the date for this FREE webinar where Max Mejiborsky, NRS consultant, will review the priorities and what you need to do to remain compliant.
The webinar will cover the following SEC Priorities:
- Retail Investors
- Market-Wide Risks
- Data Analytics
- Never-Before-Examined Investment Companies
- and more!