Get Ready…Cause Here They Come…

 The SEC announced today that its Office of Compliance Inspections and Examinations is launching the Never-Before Examined Initiative, an initiative directed at investment advisers that have never been examined.  Such initiative will focus on those advisers that have been registered with the SEC for three or more years.   These examinations will concentrate on the advisers’ compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.

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