Investment advisers are wary of the costs involved in a proposal by a Securities and Exchange Commission member that would require advisers to hire third-party contractors to conduct examinations now performed by the SEC for free.Read More
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Navigating the regulatory landscape and keeping an eye on issues that may impact RIAs and their clients is my job. So it was very encouraging to see the dozens of advisors who took time away from their jobs to participate in the Investment Adviser Association’s (IAA) annual Lobbying Day on June 4.Read More