SEC to focus on RIAs who have never faced examiner visit

10/31/2013 | InvestmentNews (free registration)

Next year, the Securities and Exchange Commission plans to give top priority to reviewing registered investment advisors who have never faced examination, says Andrew Bowden, director of the SEC Office of Compliance Inspections and Examinations. About 4,000 RIAs have never been visited by an examiner, he says.

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