More SEC Compliance Staff May Be Needed to Meet RIA Growth
Patrick Donachie | wealthmangement.com, January 2020
Read the article online >Summary: While the SEC’s Office of Compliance Inspections and Examinations (OCIE) maintained a relatively steady number of RIA examinations between 2018 and 2019, without staff increases it’s possible the office will have difficulty keeping up with a growing number of RIA firms, is in compliance, according to a new SEC report on 2020 exam priorities.