Interesting Insights from the IAA Compliance Conference

June 9, 2016

The SEC's serious consideration of mandating that investment advisers hire third parties to perform some type of compliance review and report their findings to the SEC was a major topic of discussion throughout the 2016 IAA Compliance Conference. While the scope of those reviews has not been decided, and no formal rule has yet been proposed, two SEC Directors - David Grim of Investment Management and Marc Wyatt of OCIE - discussed the value that some type of third-party review program could bring to the SEC's RIA oversight. They also discussed how data gathering determines which investment advisers are examined and the status of rulemaking on a uniform fiduciary standard for brokers and advisers. 

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