20 September 2013

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

Posted In: Global Investment Performance Standards (GIPS®), US SEC

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.