Updated Sunday, December 21, 2014 as of 3:33 AM ET

RIAs Warned of Heightened SEC Scrutiny

WASHINGTON -- With regulators vowing to crack down on bad actors in the advisory sector, RIAs need to get serious about compliance, a regulatory expert cautions -- adding that it falls to the senior management of the firm to set the tone.

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Comments (2)
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Posted by WALLACE B | Thursday, March 20 2014 at 4:04PM ET
Great round up of the new SEC regulations. The new stricter guidelines governing private equity and Hedge funds also make it mandatory for private equity and hedge funds to register with the SEC , also with increased scrutiny Businesses need to have the necessary controls and be ready with the required documents to be in a position to be examined at any time. I work for McGladrey and there's a whitepaper that aligns well with this article that readers will find useful "Is your fund prepared for the SEC's heightened regulatory focus?" @ http://bit.ly/1bEjpzs
Posted by suresh k | Wednesday, March 26 2014 at 7:12AM ET
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