Investment Planning - WHEN THE SEC KNOCKS... - Sooner or later, SEC-registered investment advisers can expect a visit from a representative of the commission's Office of Compliance Inspections and Examinations. Here are the Procedures the SEC uses to examine investment advisers. Forewarned is forearmed.
Year of publication: |
2002
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Authors: | Carroll, Brian |
Published in: |
Journal of accountancy : publication of the American Institute of Certified Public Accountants. - Jersey City, NJ : Inst., ISSN 0021-8448, ZDB-ID 2193590. - Vol. 194.2002, 2, p. 35-40
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