Filed Under:Life Insurance, Life Practice Management

SEC to examine investment advisors

Examinations will concentrate on advisors’ compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.
Examinations will concentrate on advisors’ compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.

(Bloomberg) -- Investment advisors registered with the U.S. Securities and Exchange Commission are to be examined, the agency said.

The new initiative will focus on investment advisors who have been registered with the SEC for three years or more and haven’t yet been examined, SEC’s Office of Compliance Inspections and Examinations said in letter to advisors posted on its website.

Examinations will concentrate on advisors’ compliance programs, filings and disclosure, marketing, portfolio management and safekeeping of client assets.

Copyright 2014 Bloomberg. All rights reserved. This material may not be published, broadcast, rewritten, or redistributed.

Top Sales and Marketing Ideas - 2014

Special Feature

2014 100 Best Sales & Marketing Ideas

There are a million ways to sell an insurance product, and any one of them may work depending on your target market, your product lineup and your own unique skill set.

Explore Now
More Resources

Comments

Close

Advertisement. Closing in 15 seconds.