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fi360 and CEFEX Urge SEC to Implement Third-Party Audits of Registered Investment Advisers (PDF)
fi360 and Centre for Fiduciary Excellence [CEFEX] Link to more items from this source
Mar. 17, 2014
"Given the challenges in crafting a five-year strategic plan that meets one of the SEC's most critical objectives, i.e. to promptly detect and deter securities law violations, fi360 and CEFEX believe, and would respectfully suggest, that leveraging private sector assistance through third-party compliance reviews -- the same concept considered by the Commission in 2003 and advanced by Chairman Schapiro in 2009 -- is an appropriate and more assured means of enhancing investment adviser examinations and increasing investor protection."

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