The Securities and Exchange Commission is making good on the exam priorities it pledged early in 2015.
One of those priorities was to take a closer look at how registered advisors comply with the Advisors Act when it comes to overseeing their clients' assets in 401(k) and IRA accounts.
The SEC's Office of Compliance Inspections and Exams began on-site examinations at the end of November 2015.
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Nick Thornton
Nick Thornton is a financial writer covering retirement and health care issues for BenefitsPRO and ALM Media. He greatly enjoys learning from the vast minds in the legal, academic, advisory and money management communities when covering the retirement space. He's also written on international marketing trends, financial institution risk management, defense and energy issues, the restaurant industry in New York City, surfing, cigars, rum, travel, and fishing. When not writing, he's pushing into some land or water.
