Inspector General Challenges SEC Exam Coverage and Investigation Timeliness

The SEC must sometimes regard its Office of the Inspector General as a relentless cop, always on its tail to find either things it is not doing right or challenges it must meet - perhaps not unlike some advisers and broker-dealers may feel about the SEC itself. Just weeks after issuing a report critical of the agency's time management controls (ACA Insight, 9/30/19), the SEC's internal watchdog has now raised, among other things, its examination coverage of investment advisers and the timeliness of its enforcement investigations.
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