Views on improving the integrity of global capital markets
20 September 2013

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

For Blogs and the Enterprise site

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.

For Blogs and the Enterprise site

About the Author(s)
Crystal Detamore

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

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