Access to this article requires a User ID/Password.

If you are a subscriber or trial member please login using your provided credentials.

To obtain a trial membership please click HERE or contact Dan Lalor at 516-708-4784 or via email at

OCIE boosts IA exam staff, focuses on risk in FY'17


The Securities and Exchange Commission's Office of Compliance Inspections and Examinations kicked off its new fiscal year on Oct. 1 with a larger investment adviser/investment company (IA/IC) examination staff and a focus on risk, according to OCIE Director Marc Wyatt. "As the number and complexity of our registrants grows, our ability ... Log in to view full article.