OCIE Targeting Advisors For Regulatory Scrutiny?

Reporter: Brian O'Connell

Publication: Insurance News


Deadline: Jul 7, 2017 7:00 pm

Uncle Sam is cutting investment industry regulatory staff in Fiscal 2018, but that’s not stopping OCIE from targeting financial advisors for exam scrutiny next year. Need experts to comment on why government regulators are focusing on so much on RIA’s, and not broker-dealers (exams down 43% in 18, OCIE says.) Why the focus on RIA’s from Uncle Sam? I am a freelancer.

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