 Hopefully it's a good starting point to continue the conversation and do more analysis. We don't think [the study estimates] are perfectly accurate. It's a first stab at trying to put numbers out there.”G.J. King, president, RIA in a Box. |
SEC exams could cost RIAs thousands or even millions
Mark Schoeff Jr. | InvestmentNews, September 2014
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Summary: Investment advisory firms would pay anywhere from a couple thousand to millions of dollars annually in user fees to fund Securities and Exchange Commission exams, if the agency uses that approach to increase its adviser oversight, according to a new study released Wednesday.
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