See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News March 12, 2018 Issue

OCIE Expects to Maintain 15 Percent Adviser Exam Rate in 2018 and 2019

The SECís Office of Compliance Inspections and Examinations achieved a historic rise when examiners visited 15 percent of advisory firms in fiscal year 2017, up from 11 percent the year before. It expects this rate to hold steady through the next two fiscal years, according to its annual performance report.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.