Industry Perspectives

SEC Division of Examinations Will Conduct More Focused Reg BI Examinations Beginning January 2021

Almost six months since Regulation Best Interest’s compliance date, the Division of Examinations (“Division”) (formerly the “OCIE”) announced its intent to begin conducting more focused examinations for compliance with Reg. BI in January 2021.

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2020 Evolution Revolution Report

With the Investment Adviser Industry continuing to see record growth in 2020, this Evolution Revolution Report provides a preview for the future growth and recovery of an industry that is vital for investors, the economy and capital markets.

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