SEC To Focus On Investment Advisers, Exams Chief Says
Law360, New York (October 17, 2016, 2:33 PM EDT) -- The director of the U.S. Securities and Exchange Commission's examination office said Monday that the office has moved staff to focus on the fast-expanding number of investment advisers regulated by the agency, while upping oversight of the Financial Industry Regulatory Authority.
Mark Wyatt, the director of the SEC's Office of Compliance Inspections and Examinations, said in a speech Monday morning touting the office's success that the office has increased staff dedicated to examining investment advisers and companies, while stepping up oversight of FINRA to make up for moving staff from the broker-dealer exam program.
Wyatt noted that registered investment advisers are...
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