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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >> Division of Investment Management

SEC short on staff to sufficiently examine advisors

Posted by RJ and Makay on Nov 18, 2011

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SECA Senate panel was told Wednesday that OCIE  “will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisors with adequate frequency,”  according to Carlo di Florio, director of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE).