Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Tuesday, April 13, 2010

SEC Announces Policy of Unscheduled Adviser Visits

An SEC compliance official recently announced that OCIE is indefinitely suspending its regularly-scheduled examinations of investment advisers and instead is conducting unannounced inspections based on tips of wrong-doing.  Obviously in response to the Madoff scandal, the new policy leads industry people to worry that competitors may plot to make their lives miserable.  InvNews, SEC's new adviser exam schedule: 'We simply show up'

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