ISSUER DIRECT'S BLOG

Testing, Testing: RIA Exams to Increase

Posted by Angie Goertz on Jun 30, 2017 12:18:48 PM

According to an Investment News report, despite a leaner Securities and Exchange Commission budget for the 2018 fiscal year beginning this October, registered investment advisors can expect more oversight, including a 5 percent increase in “risk-based examinations” to evaluate compliance with applicable regulatory requirements.

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Topics: SEC, Investors, Securities and Exchange Commision, Investment Advisors, Transfer Agents, Broker-Dealers