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The weekly news source for investment management legal and compliance professionals

News December 3, 2018 Issue

Percentage of Advisers Examined Jumps 11 Percent

The percentage of investment advisers examined in fiscal year 2018 by the SECís Office of Compliance Inspections and Examinations increased to 17 percent from the 15 percent examined the year before Ė representing an 11 percent increase in the number of advisers examined, according to the agency. In doing so, OCIE surpassed its FY 2018 goal of holding steady at the 15 percent figure.

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