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 dan.lalor@fundboardviews.com

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

10/17/2016

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.

 


Log-in