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What to Expect from Electronic Communications Exam Requests

A look at what the regulators are asking for and considerations for production SEC examinations of Registered Investment Advisers are on the rise. The SEC Fiscal Year 2018 Congressional Budget Justification[1] indicates that the estimated percentage of investment advisers examined in FY 2017 and FY 2018 is 13%, up from 10% and 11% in 2015 and 20

24 January 2018