Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents*
I. Introduction -
The SEC-registered investment adviser (“adviser”) population is large and diverse, ranging from global asset managers to small firms, engaging in a variety of business activities (e.g., advisory, brokerage, and insurance), servicing a diverse client base (e.g., individuals, trusts, investment companies, private funds, and pension plans), and managing a wide spectrum of assets under management (“AUM”).
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