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Daily Archives: March 15, 2017

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Facing Decreased Budget, Focus Shifts Heavily to SEC Oversight
March 15, 2017
  • Amy Easterly
  • Compliance Errors
Facing Decreased Budget, Focus Shifts Heavily to SEC RIA Oversight

When the new administration took office, members of the wealth management industry assumed that it would result in the loosening of federal and state regulations, and the decrease of SEC RIA oversight. That, however, turned out to be incorrect. At least so far.

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