Daily Archives: February 26, 2016, 7:38 pm

SEC director says assuming 10% of advisers are reviewed each year is wrong — Investment News

The SEC’s head of inspections cautioned an audience of compliance professionals not to misread the 10% annual examination rate for investment advisers. He said that doesn’t mean the Securities and Exchange Commission only reviews 10% of advisers every year. via SEC director says assuming 10% of advisers are reviewed each year is wrong — Investment News

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