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20 September 2013

GIPS Standards Conference: SEC Compliance Inspections and Examinations Update (Video)

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Posted In: Global Investment Performance Standards (GIPS®), U.S. SEC
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Andrew Bowden, director of the SEC Office of Compliance Inspections and Examinations, discusses recent developments at the SEC, including enforcement, examinations around technology-related controls, and the migration from the broker-dealer to investment advisory model.

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About the Author(s)
Crystal Detamore

Crystal Detamore is a communications director at CFA Institute and a former columnist for Entrepreneur magazine.