NEP Announces Never-Before-Examined Initiative
By EsqSocial Corporation 24/02/14
The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced this week that its National Exam Program (NEP) launched an initiative to “engage with” investment advisers that have never been examined by the SEC. Advisers to private...
By: Morrison & Foerster LLP - Broker-Dealer