Updated Tuesday, September 30, 2014 as of 11:55 AM ET

SEC Advisor Oversight Zeroes in on Arcane Practice Areas

WASHINGTON Ė The SECís enforcement division has tightened oversight of advisors by focusing on some specific, often-times arcane practice areas, the head of the division said on Wednesday.

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Comments (1)
Informative article. With changes stemming from the Dodd Frank reforms and the consumer protection act the intensity of examinations carried out by the sec has increased especially on private equity and hedge funds. By taking certain basic steps, funds can be better positioned to respond to exams. I work for McGladrey and there's a whitepaper on our website that offers good information on the above topic that readers will find helpful @ http://bit.ly/1bEjpzs
Posted by suresh k | Friday, June 20 2014 at 10:36AM ET
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