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News April 1, 2019 Issue

SEC Expects a Drop in Adviser Examinations in FY 2019

Advisory firms fearing an exam from the SECís Office of Compliance Inspections and Examinations this year might have cause to breathe a little easier. While there is a new cybersecurity exam underway (see story this issue), overall, the SEC is predicting a drop in the percentage of advisers it will examine in fiscal year 2019, following several years of increases.

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